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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

Securities

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Securities – CSA Staff Notice 21-331 - Information Processor for Exchange-Traded Securities other than Options

June 23, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice 21-331 - Information Processor for Exchange-Traded Securities other than Options.

For more information, contact: 

Mobolanle Depo-Fajumo 
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-798-3381
Fax: 306-787-5899 
Email: mobolanle.depofajumo2@gov.sk.ca    

 

 Securities – CSA Multilateral Notice and Request for Comment, Proposed Amendments to Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Proposed Changes to Companion Policy 96-101 Trade Repositories and Derivatives Data Reporting

June 9, 2022 – Today the Canadian Securities Administrators are publishing CSA Multilateral Notice and Request for Comment, Proposed Amendments to Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Proposed Changes to Companion Policy 96-101 Trade Repositories and Derivatives Data Reporting

Comment Period Ends: October 7, 2022.

For more information, contact:

Graham Purse
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax : 306-787-5899
Email: graham.purse2@gov.sk.ca

 

Securities – Multilateral CSA Notice of Publication Amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

May 12, 2022 – Today the Canadian Securities Administrators are publishing Multilateral CSA Notice of Publication Amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions.

Effective Date: Subject to Ministerial Approval – July 26, 2022.

For more information, contact:

Graham Purse
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: graham.purse2@gov.sk.ca

 

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

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

 

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

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

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 94-101) Amendment Regulations, 2022

May 6, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 94-101) Amendment Regulations, 2022.

Effective Date: Section 8 – May 3, 2022; Remaining sections - September 1, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 33-109 and NI 31-103) Amendment Regulations, 2022

May 6, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 33-109 and NI 31-103) Amendment Regulations, 2022.

Effective Date: June 6, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – CSA Staff Notice 25-303, 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

April 28, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice 25-303 - 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds

For more information, contact:

Curtis Brezinski
Financial and Consumer Affairs Authority of Saskatchewan
Compliance Auditor, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5876
Fax: 306-787-5899
Email: curtis.brezinski@gov.sk.ca

 

Securities – CSA and CCIR Joint Notice and Request for Comment, Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance, Total Cost Reporting for Investment Funds and Segregated Funds

April 28, 2022 – Today the Canadian Securities Administrators are publishing CSA and CCIR Joint Notice and Request for Comment, Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance, Total Cost Reporting for Investment Funds and Segregated Funds

  • CSA and CCIR Joint Notice and Request for Comment.
    • Annex A – Specific questions regarding the Proposed Securities Amendments
    • Annex B – Specific questions regarding the Proposed Insurance Guidance
    • Annex C – Proposed Amendments to NI 31-103
    • Annex D – Proposed changes to 31-103CP
    • Annex E – Blackline showing changes to NI 31-103 under the Proposed Amendments
    • Annex F – Blackline showing changes to 31-103CP under the Proposed Amendments
    • Annex G – Sample prototype statement and report for the securities sector
    • Annex H – Sample prototype report for the insurance sector
    • Annex I – Local matters
    • Annex J – Proposed Insurance Guidance
    • Annex K – Segregated funds and investment funds: differences between products, distribution channels and regulation

Comment Period Ends: July 27, 2022

For more information, contact:

Curtis Brezinski
Financial and Consumer Affairs Authority of Saskatchewan
Compliance Auditor, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5876
Fax: 306-787-5899
Email: curtis.brezinski@gov.sk.ca

 

Securities – CSA Consultation Paper 43-401 Consultation on National Instrument 43-101 Standards of Disclosure for Mineral Projects

April 14, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Consultation Paper 43-401 Consultation on National Instrument 43-101 Standards of Disclosure for Mineral Projects

  • CSA Consultation Paper 43-401.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – CSA Notice of Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements Related to Financial Statement Requirements
 

April 14, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice of Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements Related to Financial Statement

For more information, contact:

Heather Kuchuran, Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

April 7, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

  • CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers
    • Annex A – Proposed Amendments to National Instrument 41-101 General Prospectus Requirements,
    • Annex B – Proposed Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements,
    • Annex C – Proposed Amendments to National Instrument 44-101 Short Form Prospectus Distributions,
    • Annex D – Proposed Amendments to National Instrument 44-102 Shelf Distributions,
    • Annex E – Proposed Changes to Companion Policy 44-102CP to National Instrument 44-102 Shelf Distributions,
    • Annex F – Proposed Amendments to National Instrument 44-103 Post-Receipt Pricing,
    • Annex G – Proposed Changes to Companion Policy 44-103CP to National Instrument 44-103 Post-Receipt Pricing,
    • Annex H – Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations,
    • Annex I – Proposed Changes to Companion Policy 51-102CP to National Instrument 51-102 Continuous Disclosure Obligations.
    • Annex J – Proposed Amendments to National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers,
    • Annex K – Proposed Changes to National Policy 11-201 Electronic Delivery of Documents,
    • Annex L – Proposed Changes to National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means,
    • Annex M – Proposed Changes to Companion Policy 54-101CP to National Instrument 54-101 Communications with Beneficial Owners of Securities of a Reporting Issuer
    • Annex N – Local Matters

Comment Period Ends: July 6, 2022.

For more information, contact:

Heather Kuchuran, Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – General Order 81-508 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers 

March 25, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 81-508 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers with the effective date of June 1, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – General Order 81-508 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers 

March 25, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 81-508 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 81-105, NI 81-101, and NI 31-103) Amendment Regulations, 2022

March 10, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 81-105, NI 81-101, and NI 31-103) Amendment Regulations, 2022.

Effective Date: June 1, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 52-108) Amendment Regulations, 2022

March 10, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 52-108) Amendment Regulations, 2022.

Effective Date: March 30, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 13-101, NI 41-101, NI 81-101, NI 81-102, NI 81-106, NI 81-107 and MI 13-102) Amendment Regulations, 2022

March 17, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan are publishing The Securities Commission (Adoption of National Instruments) (NI 13-101, NI 41-101, NI 81-101, NI 81-102, NI 81-106, NI 81-107 and MI 13-102) Amendment Regulations, 2022.

Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 31-103, NI 41-101, NI 45-106, NI 81-101, NI 81-102, NI 81-106, and NI 81-107) Amendment Regulations, 2022

March 17, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan are publishing The Securities Commission (Adoption of National Instruments) (NI 31-103, NI 41-101, NI 45-106, NI 81-101, NI 81-102, NI 81-106, and NI 81-107) Amendment Regulations, 2022.

1-2022 SR Filed 31-103 NI, et al AR February 8, 2022.pdf

Effective Date: January 5, 2022. In Saskatchewan: February 8, 2022.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – Decision in the Matter of the Saskatchewan Pension Plan

February 3, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan published the Decision in the Matter of the Saskatchewan Pension Plan.


Effective Date: December 24, 2021.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal Branch, Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca
 

 

Securities – CSA Staff Notice 24-318 Preparing for the Implementation of T + 1 Settlement 

February 3, 2022 – Today the Canadian Securities Administrators are publishing CSA Staff Notice 24-318 Preparing for the Implementation of T +1 Settlement.

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
 


Securities – CSA Notice of Publication Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives

January 27, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice of Publication Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives.

Effective Date: Subject to Ministerial Approval – Section 8 April 12, 2022 and the remaining sections September 1, 2022.

For more information, contact:

Derek Maher
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca

 

Securities – CSA Notice and Request for Comment Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Proposed Consequential Amendments and Changes and Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution Modernization of the Prospectus Filing Model for Investment Funds

January 27, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Proposed Consequential Amendments and Changes and Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution Modernization of the Prospectus Filing Model for Investment Funds

Comment Period Ends: April 27, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax : 306-787-5899
Email: heather.kuchuran@gov.sk.ca

Securities – CSA Notice and Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct

January 20, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct.

Comment Period Ends: March 21, 2022.

For more information, contact:

Derek Maher, J.D., CPA, CA
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca

 

Securities – Multilateral CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds

January 20, 2022 – Today the Canadian Securities Administrators are publishing Multilateral CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments relating to Prohibition of Deferred Sales Charges for Investment Funds.

Effective Date: Subject to Ministerial Approval – June 1, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – CSA Staff Notice 81-334 ESG-Related Investment Fund Disclosure

January 19, 2022 – Today the Canadian Securities Administrators are publishing CSA Staff Notice 81-334 ESG-Related Investment Fund Disclosure.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – CSA Notice of Publication Amendments to National Instrument 52-108 Auditor Oversight Changes to Companion Policy 52-108 Auditor Oversight

January 13, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice of Publication Amendments to National Instrument 52-108 Auditor Oversight Changes to Companion Policy 52-108 Auditor Oversight.

Effective Date: Subject to Ministerial Approval – March 30, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – General Order 81-507 Reducing Regulatory Burden for Investment Fund Issuers Part 2

January 6, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 81-507 Reducing Regulatory Burden for Investment Fund Issuers Part 2 with the effective date of January 6, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email:heather.kuchuran@gov.sk.ca

 

Securities – General Order 81-506 Reducing Regulatory Burden for Investment Fund Issuers Part 1

January 5, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 81-506 Reducing Regulatory Burden for Investment Fund Issuers Part 1 with the effective date of January 5, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email:heather.kuchuran@gov.sk.ca

 

Securities – Local Notice General Order 81-506 Reducing Regulatory Burden for Investment Fund Issuers Part 1 and General Order 81-506 Reducing Regulatory Burden for Investment Fund Issuers Part 2

January 5, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing Local Notice of General Order 81-506 Reducing Regulatory Burden for Investment Fund Issuers Part 1 and General Order 81-507 Reducing Regulatory Burden for Investment Fund Issuers Part 2.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – The Securities Commission (Adoption of National Instruments) (NI 31-103) Amendment Regulations, 2021

December 17, 2021 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 31-103) Amendment Regulations, 2022.

Effective Date: December 31, 2021.

For more information, contact:

Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca

 

Securities – CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines

December 16, 2021 – Today the Canadian Securities Administrators are publishing CSA Notice of Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to National Instrument 33-109 Registration Information and Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.

Effective Date: Subject to Ministerial Approval – June 6, 2022.

For more information, contact:

Curtis Brezinski
Financial and Consumer Affairs Authority of Saskatchewan
Compliance Auditor, Capital markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5876
Fax: 306-787-5899
Email: curtis.brezinski@gov.sk.ca
 

 

Securities – CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2022

December 9, 2021 – Today the Canadian Securities Administrators are publishing CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2022.

For more information, contact:

Heather Kuchuran, CPA, CA, CFA
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

 

Securities – CSA Staff Notice 11-344 Notice of Local Amendments in Certain Jurisdictions

December 9, 2021 – Today the Canadian Securities Administrators are publishing CSA Staff Notice 11-344 Notice of Local Amendments in Certain Jurisdictions.

For more information, contact:

Derek C. Maher, B.Admin., J.D., CPA, CA
Financial and Consumer Affairs Authority of Saskatchewan
Acting Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca

Securities – CSA Staff Notice 44-306 Blanket Orders Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements

December 6, 2021 – Today the Canadian Securities Administrators are publishing CSA Staff Notice 44-306 Blanket Orders Exempting Well-known Seasoned Issuers from Certain Prospectus Requirements.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email:heather.kuchuran@gov.sk.ca

 

 

Securities – General Order 44-501 Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers

December 6, 2021 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 44-501 Exemption from Certain Prospectus Requirements for Well-known Seasoned Issuers with the effective date of January 4, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – General Order 52-502 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure

December 2, 2021 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 52-502 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure with the effective date of December 2, 2021.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email:  heather.kuchuran@gov.sk.ca

 

 

Securities – CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel

December 2, 2021 – Today the Canadian Securities Administrators is publishing CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel with attached proposed Terms of Reference.

For more information, contact:

Derek Maher, J.D., CPA, CA
Financial and Consumer Affairs Authority of Saskatchewan
Acting Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca

 

Securities – Temporary Cease Trade Order Against Nine Saskatoon Companies and Two Individuals

November 16, 2021 – The FCAA has terminated the Cease Trade Order against Epic Alliance Inc. For more information, refer to the Termination of the Cease Trade Order.

 

Securities – Temporary Cease Trade Order Against Nine Saskatoon Companies and Two Individuals

November 5, 2021 – The FCAA has extended the Cease Trade Order against nine Saskatoon companies and two individuals. For more information, refer to the Extending Cease Trade Order.

 

Securities – CSA Multilateral Staff Notice 58-313 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 7 Report

November 4, 2021 – Today the Canadian Securities Administrators is publishing CSA Multilateral Staff Notice 58-313 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions Year 7 Report.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

Securities – Temporary Cease Trade Order Aganist Nine Saskatoon Companies and Two Individuals

October 29, 2021 – The FCAA has issued a Temporary Cease Trade Order aganist nine Saskatoon companies and two individuals. For more information, refer to the Temporary Cease Trade Order.

 

Securities – Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters

October 18, 2021 – Today the Canadian Securities Administrators is publishing the Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters.

Comment Period Ends: January 17, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

 

 

Securities – CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1

October 7, 2021 – Today the Canadian Securities Administrators is publishing the CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1.

  • CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1 
    • Annex A    Summary of Changes to the Proposed Amendments
    • Annex B    Summary of Public Comments and CSA Responses on the Proposed Amendments
    • Annex C    Amendments and Related Changes Including:
    • Workstream One:    Consolidate the Simplified Prospectus and the Annual Information Form
    • Schedule 1-A    Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    • Schedule 1-B    Changes to Companion Policy 81-101 Mutual Fund Prospectus Disclosure
    • Schedule 1-C    Amendments to National Instrument 81-102 Investment Funds
    • Schedule 1-D    Changes to Companion Policy 81-102 Investment Funds
    • Schedule 1-E    Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
    • Schedule 1-F    Changes to Companion Policy 81-106 Investment Fund Continuous Disclosure
    • Schedule 1-G    Changes to National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions
    • Schedule 1-H    Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
    • Schedule 1-I    Amendments to Multilateral Instrument 13-102 System Fees for SEDAR and NRD
    • Schedule 1-J    Changes to Companion Policy 41-101 General Prospectus Requirements
    • Workstream Two:    Mandate that each Investment Fund have a Designated Website
    • Schedule 2-A    Amendments to National Instrument 41-101 General Prospectus Requirements
    • Schedule 2-B    Changes to Companion Policy 41-101 General Prospectus Requirements
    • Schedule 2-C    Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    • Schedule 2-D    Changes to Companion Policy 81-101 Mutual Fund Prospectus Disclosure
    • Schedule 2-E    Amendments to National Instrument 81-102 Investment Funds
    • Schedule 2-F    Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
    • Schedule 2-G    Changes to Companion Policy 81-106 Investment Fund Continuous Disclosure
    • Schedule 2-H    Amendments to National Instrument 81-107 Independent Review Committee for Investment Funds
    • Schedule 2-I    Changes to Commentary in National Instrument 81-107 Independent Review Committee for Investment Funds
    • Workstream Three:    Codify Exemptive Relief Granted in Respect of Notice-and-Access Applications
    • Schedule 3-A    Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
    • Schedule 3-B    Changes to Companion Policy 81-106 Investment Fund Continuous Disclosure
    • Workstream Four:    Minimize Filings of Personal Information Forms
    • Schedule 4-A    Amendments to National Instrument 41-101 General Prospectus Requirements
    • Schedule 4-B    Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    • Workstream Five:    Codify Exemptive Relief Granted in Respect of Conflicts Applications
    • Schedule 5-A    Amendments to National Instrument 81-102 Investment Funds
    • Schedule 5-B    Changes to Companion Policy 81-102 Investment Funds
    • Schedule 5-C    Amendments to National Instrument 81-107 Independent Review Committee for Investment Funds
    • Schedule 5-D    Changes to Commentary in National Instrument 81-107 Independent Review Committee for Investment Funds
    • Schedule 5-E    Amendment to National Instrument 45-106 Prospectus Exemptions
    • Schedule 5-F    Amendment to National Instrument 81-106 Investment Fund Continuous Disclosure
    • Schedule 5-G    Amendment to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
    • Workstream Six:    Broaden Pre-approval Criteria for Investment Fund Mergers
    • Schedule 6-A    Amendments to National Instrument 81-102 Investment Funds
    • Schedule 6-B    Change to Companion Policy 81-102 Investment Funds
    • Workstream Seven:    Repeal Regulatory Approval Requirements for Change of Manager, Change of Control of a Manager, and Change of Custodian that Occurs in Connection with a Change of Manager
    • Schedule 7-A    Amendments to National Instrument 81-102 Investment Funds
    • Schedule 7-B    Change to Companion Policy 81-102 Investment Funds
    • Workstream Eight:    Codify Exemptive Relief Granted in Respect of Fund Facts Delivery Applications
    • Schedule 8-A    Amendments to National Instrument 41-101 General Prospectus Requirements
    • Schedule 8-B    Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    • Additional Amendments:
    • Schedule 9    Amendments to National Instrument 41-101 General Prospectus Requirements
    • Annex D    Local matters
    • Annex E    Blacklines Reflecting Amendments and Related Changes Arising from all Workstreams

Effective Date: Subject to Ministerial Approval – Workstreams 3-8 January 5, 2022 and Workstreams 1 and 2 January 6, 2022.

For more information, contact:

Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email:heather.kuchuran@gov.sk.ca

 

 

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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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