Securities Laws Published For Comment

Securities Laws Published For Comment

Securities – CSA Staff Notice and Request for Comment 25-305, Application for Approval of the New Investor Protection Fund

May 12, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice and Request for Comment 25-305, Application for Approval of the New Investor Protection Fund

• CSA Staff Notice and Request for Comment 25-305 Application for Approval of the New Investor Protection Fund
  • Appendix A – Application for approval and acceptance of the New IPF (Application), which includes the below schedules:
    • Schedule 1 – Draft By-Law Number 1 of the New IPF
    • Schedule 2 – Draft Coverage Policy
    • Schedule 3 – Draft Claims Procedures
    • Schedule 4 – Draft Appeal Committee Guidelines
  • Appendix B - Draft Approval Order for the New IPF (SK) setting out the terms and conditions of approval as well as reporting requirements for the New IPF
  • Appendix C – Draft Memorandum of Understanding (MOU) among the Regulators regarding oversight of the New IPF

Comment Period Ends: June 27, 2022.

For more information, contact:
Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca

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Securities – CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

May 12, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

• CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization
  • Appendix A - Application for recognition of the New SRO (Application), which includes the below schedules:
    • Schedule 1 – Draft By-Law Number 1 of the New SRO
    • Schedule 2 – Draft Interim Rules of the New SRO
      • Introduction
      • Investment Dealer and Partially Consolidated Rules
      • Mutual Fund Dealer Rules  
      • Mutual Fund Dealer Form 1  
      • Universal Market Integrity Rules
    • Schedule 3 – Draft Terms of Reference for New SRO’s Investor Advisory Panel
    • Schedule 4 – Québec Requirements (unofficial translation)
  • Appendix B – Draft Recognition Order for the New SRO (SK) setting out the terms and conditions of recognition as well as reporting requirements for the New SRO.
  • Appendix C – Draft MOU among the Recognizing Regulators regarding oversight of the New SRO.

Comment Period Ends: June 27, 2022.

For more information, contact:

Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca

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Securities – Public Feedback Wanted on Financial Planners and Financial Advisors Regulations

July 28, 2021 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a consultation on the regulation of financial planners and financial advisors.

• Notice of Proposed Regulations and Request for Comment
  • Appendix

The consultation period ends October 1, 2021.

For more information contact:

Janette Seibel, Executive Director
Insurance and Real Estate Division
Financial and Consumer Affairs Authority of Saskatchewan
601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Email: finplannerconsult@gov.sk.ca

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Securities – Consultation on the regulation of Financial Planners and Financial Advisors

August 9, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a consultation on the regulation of financial planners and financial advisors.

• Consultation Letter

The consultation period ends September 9, 2019.

For more information contact:

            Dean Murrison, Director
            Securities Division
            Financial and Consumer Affairs Authority of Saskatchewan
            601, 1919 Saskatchewan Drive
            Regina, Saskatchewan S4P 4H2
            Email: finplannerconsult@gov.sk.ca

 

• National Instruments Published For Comment
• Local Instruments Published For Comment
• Canadian Securities Administrators (CSA) Consultation Papers