Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

32-501 – Deposit Agents (Local Instrument)

  • 32-501 – Deposit Agents (Local Instrument)

    • Local Instrument 32-501 Deposit Agents

      Effective Date: January 1, 2006.

      Operation suspended by GRO 32-801.

      Requires intermediaries who trade in guaranteed investment certificates to be registered.  Also imposes reporting requirements on financial institutions.

      32_501li.pdf
    • Appendix A - Submission to Jurisdiction32_501li_appendixa.pdf
    • Appendix B - Undertaking to Provide Information32_501li_appendixb.pdf
    • Appendix C - Disclosure Statement to New Clients 32_501li_appendixc.pdf
    • Form 32-501F1 - Report by Mutual Fund Dealer pursuant to clause 4(d)32_501formf1.pdf
    • Form 32-501F2 - Application for Registration as a Deposit Agent32_501formf2.pdf
    • Form 32-501F3 - Salespersons and Officials Application for Registration32_501formf3.pdf
    • Form 32-501F4 - Deposit Agent Annual Report32_501formf4.pdf
    • Form 32-501F5 - Auditor's Report32_501formf5.pdf
    • Form 32-501F6 - Financial Institution Annual Report32_501formf6.pdf

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