National Instruments Published For Comment

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  Securities Division

  Suite 601, 1919 Saskatchewan Drive

  Regina, Saskatchewan S4P 4H2

  Tel: (306)787-5645

  Fax: (306)787-5899

  Email: fcaa@gov.sk.ca
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  National Instruments Published For Comment

   

  Securities - CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

  July 2, 2020 - The Canadian Securities Administrators published CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

  • CSA Staff Notice 31-358

  The comment period ends September 30, 2020.

  For more information contact:
          Liz Kutarna, Deputy Director
          Capital Markets, Securities Division
          Financial and Consumer Affairs Authority of Saskatchewan
          Suite 601, 1919 Saskatchewan Drive
          Regina, Saskatchewan  S4P 4H2
          Tel:  306.787.5871
          Fax: 306.787.5899
          Email: liz.kutarna@gov.sk.ca

   

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  Securities - CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

  June 25, 2020 - The Canadian Securities Administrators published CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

  • CSA Consultation Paper

  The comment period ends October 23, 2020.

  For more information contact:
          Liz Kutarna, Deputy Director
          Capital Markets, Securities Division
          Financial and Consumer Affairs Authority of Saskatchewan
          Suite 601, 1919 Saskatchewan Drive
          Regina, Saskatchewan  S4P 4H2
          Tel:  306.787.5871
          Fax: 306.787.5899
          Email: liz.kutarna@gov.sk.ca

   

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  Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

  March 5, 2020 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

  • CSA Notice and Request for Comment
  • Annex A - Proposed Amendments to National Instrument 31-103 
  • Annex B - Blackline Showing Changes to National Instruments 31-103
  • Annex C - Proposed Changes to Companion Policy 31-103CP
  • Annex D - Local Matters

  The comment period ends June 3, 2020. The CSA has extended the comment period to July 20, 2020.

  For more information contact:
          Curtis Brezinski, Compliance Auditor
          Capital Markets, Securities Division
          Financial and Consumer Affairs Authority of Saskatchewan
          Suite 601, 1919 Saskatchewan Drive
          Regina, Saskatchewan S4P 4H2
          Tel: 306.787.5876
          Fax: 306.787.5899
          Email: curtis.brezinski@gov.sk.ca

   

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  Securities - CSA Notice and Request for Comment Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions

  February 27, 2020 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions

  • CSA Notice and Request for Comment
  • Annex A - Key differences between the registration and prospectus exemptions under Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions and the Start-up Crowdfunding Registration and Prospectus Blanket Orders
  • Annex B - Local Matters
  • Annex C - Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
  • Annex D - Proposed Form 45-110F1 Offering Document
  • Annex E - Proposed Form 45-110F2 Risk Acknowledgement
  • Annex F - Proposed Form 45-110F3 Funding Portal Information
  • Annex G - Proposed Form 45-110F4 Portal Individual Information
  • Annex H - Proposed Form 45-110F5 Annual Working Capital Certification
  • Annex I - CSA Staff Notice 45-XXX Guidance for using the start-up crowdfunding registration and prospectus exemptions
        Appendix 1 - Start-up Crowdfunding Guide for Businesses
        Appendix 2 - Start-up Crowdfunding Guide for Funding Portals
  • Annex J - Proposed Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
  • Annex K - Proposed Amendments to National Instrument 45-102 Resale of Securities

  The comment period ends May 27, 2020. The CSA has extended the comment period to July 13, 2020.

  For more information contact:
          Mikale White, Legal Counsel
          Legal, Securities Division
          Financial and Consumer Affairs Authority of Saskatchewan
          Suite 601, 1919 Saskatchewan Drive
          Regina, Saskatchewan S4P 4H2
          Phone: 306.798.3381
          Fax: 306.787.5899
          Email: mikale.white@gov.sk.ca

   

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  Securities - CSA Second Notice and Request for Comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes

  February 13, 2020 - The Canadian Securities Administrators published CSA Second Notice and Request for Comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes

  • CSA Second Notice and Request for Comment
  • Annex A - List of Commenters
  • Annex B - Summary of Comments and CSA Responses
  • Annex C - Summary of Changes Made in the Proposed Instrument
  • Annex D - Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
  • Annex E - Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure
  • Annex F - Proposed Amendments to Multilateral Instrument 45-108 Crowdfunding
  • Annex G - Proposed Change to Companion Policy 45-108CP Crowdfunding
  • Annex H - Proposed Change to Companion Policy 51-102CP Continuous Disclosure Obligations
  • Annex I - Proposed Change to Companion Policy 51-105CP Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
  • Annex J - Proposed Change to Companion Policy 52-107CP Acceptable Principles and Auditing Standards
  • Annex K - Local Matters 

  The comment period ends May 13, 2020. The CSA has extended the comment period to June 29, 2020.

  For more information contact:
          Heather Kuchuran, Acting Deputy Director
          Corporate Finance, Securities Division
          Financial and Consumer Affairs Authority of Saskatchewan
          Suite 601, 1919 Saskatchewan Drive
          Regina, Saskatchewan  S4P 4H2
          Phone:  306.787.1009
          Fax:  306.787.5899
          Email: heather.kuchuran@gov.sk.ca 

   

  • Archive 2019
  • Archive 2018
  • Archive 2017
  • Archive 2016

   

  Securities Division

  Suite 601, 1919 Saskatchewan Drive

  Regina, Saskatchewan S4P 4H2

  Tel: (306)787-5645

  Fax: (306)787-5899

  Email: fcaa@gov.sk.ca