May 2017

May 2017

 

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Securities – Staff Notice 45-703 Monitoring the Use of the Exemptions Under National Instrument 45-106 Prospectus Exemptions

May 31, 2017 - Staff Notice 45-703 Monitoring the Use of the Exemptions Under National Instrument 45-106 Prospectus Exemptions.

• Staff Notice 45-703

For more information please contact:

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

 

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Securities – Investor Alert - Loyalty Insurance Group

May 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan is warning investors about an entity named Loyalty Insurance Group.

• Investor Alert - Loyalty Insurance Group

For more information, please contact: 

Harvey White, Investigator, Enforcement
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone:  (306) 787-7829
Fax:  (306) 787-5899
Email: harvey.white@gov.sk.ca

 

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Securities – CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations

May 18, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations.

• CSA Staff Notice 31-350

For more information, please contact: 

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

 

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Securities – CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients

May 11, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients.

• CSA Staff Notice 33-319

For more information, please contact:

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

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

 

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Securities – Order In the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

May 11, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of SHEC Energy Corporation.

• Order - May 11, 2017

For more information contact:

Dallas Smith, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone:  (306) 787-5843
Fax:  (306) 787-5899
Email: dallas.smith@gov.sk.ca