- Consumers, Investors & Pension Plan Members
- ConsumersInvestorsPension Plan Members
- Charity Donors
- Consumers hiring Mortgage Brokers, Administrators, Associates and Brokerages
- Consumers of Goods and Services
- Consumers using Real Estate Agents and Property Managers
- Consumers using Trust, Loan, Financing Corporations and Loan Brokers
- Credit Union Members
- Film Viewers
- Insurance Consumers
- Payday Loan Borrowers
- Regulated Businesses & Persons
- BusinessesPersons
- Auction Sales Companies and Auctioneers
- Cemeteries
- Charitable Fundraising Businesses
- Collection Agencies
- Credit Reporting Agencies
- Credit Unions
- Direct/Door to Door Sellers
- Film and/or Video Exhibitor, Distributor or Retailer
- Insurance Companies
- Loan Brokers
- Mortgage Administrators
- Mortgage Brokerages
- Payday Lenders
- Pension Plans
- Securities Industry Participants
- Trust, Loan or Financing Corporations
- Vehicle Dealers
- What's New
- Videos
- About Us
- Legislation
- Contact Us
Financial and Consumer Affairs Authority of Saskatchewan
FCAA is Saskatchewan’s financial and consumer marketplace regulator.
Home > Securities Industry Participants > Securities Laws > Regulatory Instruments > Part 3 - Registration and Related Matters > 33 - Ongoing Requirements Affecting Registrants
33 - Ongoing Requirements Affecting Registrants
-
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
33 - Ongoing Requirements Affecting Registrants
- 33-105 – Underwriting Conflicts (National Instrument)
- 33-109 – Registration Information (National Instrument)
- 33-305 - Sale of Insurance Products by Dually Employed Salespersons
- 33-314 – International Financial Reporting Standards and Registrants (National Notice)
- 33-315 – Suitability Obligation and Know Your Product (National Notice)
- 33-316 – Status Report on Consultation under CSA Consultation Paper 33-403 (National Notice)
- 33-317 – Next Steps in the CSA's Work to enhance the Obligations of Advisors, Dealers and Representatives Toward Their Clients (National Notice)
- 33-318 – Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives (National Notice)
- 33-319 – Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients (National Notice)
- 33-320 – The Requirement for True and Complete Applications for Registration (National Notice)
- 33-321 - Cyber Security and Social Media (National Notice)
- 33-701 – Telemarketing Activities (Local Notice)
- 33-705 – Dealing with Non-Residents (Local Notice)
- 33-711 – Adviser and Deposit Agent Examinations (Local Notice)
