Securities Laws Published For Comment

Insurance and Real Estate Consultation Papers

Insurance and Real Estate – Public Feedback Wanted on Financial Planners and Financial Advisors Regulations

July 20, 2022 - 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 September 20, 2022.

FCAA is seeking additional feedback on the updated Proposed Financial Planners and Financial Advisors Regulations to set out FCAA’s approach for assessing Saskatchewan’s credentialling bodies and the credential requirements associated with use of the Financial Planner and Financial Advisor titles.
FCAA is publishing the proposed Regulation for comment on its website. FCAA invites feedback until September 20, 2022.
Please note, a previous version of these documents were posted. They have been replaced with versions that have been revised for formatting. Content remains the same.

Participate
The public consultation period is open from July 20, 2022 – September 20, 2022.

For more information contact:

Gary Gehring, Policy and Programming Officer
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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Insurance and Real Estate – 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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Insurance and Real Estate – 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

• Closed Insurance and Real Estate Consultations

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Securities Laws Published For Comment

Securities – CSA Notice and Request for Comment: Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure

October 6, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment in relation to Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure to Implement an Access-Based Model for Investment Fund Reporting Issuers

CSA Notice and Request for Comment: Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure

    •    Annex A - Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
    •    Annex B - Proposed Changes to Companion Policy 81-106 Investment Fund Continuous Disclosure
    •    Annex C - Proposed Consequential Amendments to National Instrument 41-101 General Prospectus Requirements
    •    Annex D - Proposed Consequential Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    •    Annex E - Local Matters

Comment Period Ends: December 26, 2022.

For more information, contact:

        Heather Kuchuran, Director
        Corporate Finance, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, SK S4P 4H2
        Phone: 306-787-1009
        E-mail: heather.kuchuran@gov.sk.ca  

 

 

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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

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