November 2022
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
November 2022
Securities – Approval Order of Canadian Investor Protection Fund (CIPF) as a compensation fund and Memorandum of Understanding regarding oversight of the Canadian Investor Protection Fund
November 24, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing Approval Order 25-504 Approval of Canadian Investor Protection Fund (CIPF) as a compensation fund (GO 25-504) and the Memorandum of Understanding regarding oversight of the Canadian Investor Protection Fund (CIPF MOU). GO 25-504 and the CIPF MOU come into effect on January 1, 2023.
- 25-504 - Approval Order - Approval of Canadian Investor Protection Fund
- Memorandum of Understanding regarding oversight of the Canadian Investor Protection Fund
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 of Approval 25-308 Approval and Acceptance of Canadian Investor Protection Fund
November 24, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice of Approval 25-308 Approval and Acceptance of Canadian Investor Protection Fund.
• CSA Staff Notice of Approval 25-308 Approval and Acceptance of Canadian Investor Protection Fund
• Appendix A – Approval or Acceptance Order for CIPF
• Appendix B – Memorandum of Understanding among the Regulators regarding oversight of CIPF
• Appendix C – Approval and Acceptance Application
o Schedule 1 – By-Law Number 1 of CIPF
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 2 – Coverage Policy
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 3 - Claims Procedures
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 4 - Appeal Committee Guidelines
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 5 - Disclosure Policy
• Appendix D – Summary of and response to public comments
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 – Recognition of New Self-Regulatory Organization of Canada (New SRO) and Memorandum of Understanding among the Recognizing Regulators regarding oversight of the New SRO
November 24, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing General Ruling/Order 25-503 Recognition of New Self-Regulatory Organization of Canada (GO 25-503) and the Memorandum of Understanding among the Recognizing Regulators regarding oversight of the New SRO (New SRO MOU). GO 25-503 and the New SRO MOU come into effect on January 1, 2023.
- 25-503 - Recognition Order - Recognition Order for the New Self-Regulatory Organization of Canada
- Memorandum of Understanding among the Recognizing Regulators regarding oversight of the New Self-Regulatory Organization of Canada
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 of Approval 25-307 Recognition of New Self-Regulatory Organization of Canada
November 24, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice of Approval 25-307 Recognition of New Self-Regulatory Organization of Canada.
• CSA Staff Notice of Approval 25-307 Recognition of New Self-Regulatory Organization of Canada
• Appendix A – Recognition Order for the New SRO
• Appendix B – Memorandum of Understanding among the Recognizing Regulators regarding oversight of the New SRO
• Appendix C – Recognition Application
o Schedule 1 – By-law No. 1 of the New SRO
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 2 – Interim Rules of the New SRO
i. Investment Dealer and Partially Consolidated Rules
a. Summary of changes
b. Clean
c. Blacklined to May 12, 2022 publication
ii. Investment Dealer Form 1
a. Summary of changes
b. Clean
c. Blacklined to existing IIROC Form 1
iii. Mutual Fund Dealer Rules
a. Summary of changes
b. Clean
c. Blacklined to May 12, 2022 publication
iv. Mutual Fund Dealer Form 1 (clean only; no changes since May 12, 2022 publication)
v. Universal Market Integrity Rules
a. Clean
b. Blacklined to May 12, 2022 publication
o Schedule 3 – Interim Fee Model Guidelines Applicable to Investment Dealer Members and Marketplace Members
a. Clean
b. Blacklined to existing IIROC Fee Model Guidelines
o Schedule 4 – Terms of Reference for the New SRO Investor Advisory Panel
a. Clean
b. Blacklined to May 12, 2022 publication
• Appendix D – Summary of and response to public comments
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 - Local Notice of Amendments to General Order 11-906 Offering Memorandum Specification Order
November 21, 2022 - The Financial and Consumer Affairs Authority of Saskatchewan is publishing Local Notice of Amendments to General Order 11-906 Offering Memorandum Specification Order.
For more information, contact:
Mobolanle Depo-Fajumo
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
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 – General Order 45-503 Prospectus Exemption Available to Reporting Issuers that are Listed on a Canadian Stock Exchange
November 21, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 45-503 Prospectus Exemption Available to Reporting Issuers that are Listed on a Canadian Stock Exchange.
- General Order 45-503 Prospectus Exemption Available to Reporting Issuers that are Listed on a Canadian Stock Exchange
- Annex 1 – Form 45-106F15
- Annex 2 – Form 45-106F19
- Local Notice General Order 45-503 Prospectus Exemption Available to Reporting Issuers that are Listed on a Canadian Stock Exchange
For more information, contact:
Mobolanle Depo-Fajumo
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
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 Staff Notice 96-303 Derivatives Data Reporting Transition Guidance
November 10, 2022 – The Canadian Securities Administrators are publishing CSA Staff Notice 96-303 Derivatives Data Reporting Transition Guidance.
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 Consultation Paper 21-403 Access to Real-Time Market Data
November 10, 2022 – The Canadian Securities Administrators is publishing CSA Consultation Paper 21-403 Access to Real-Time Market Data.
The comment period ends February 10, 2023.
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 – Local Notice of Amendments to General Order 11-906 Offering Memorandum Specification Order
November 10, 2022 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing Local Notice of Amendments to General Order 11-906 Offering Memorandum Specification Order.
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 94-102) Amendment Regulations, 2022
November 4, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 94-102) Amendment Regulations, 2022. The amendment regulation comes into force today.
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 51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 2021
November 3, 2022 – The Canadian Securities Administrators is publishing CSA Staff Notice 51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 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 31-362 OBSI Joint Regulators Committee Annual Report for 2021
November 3, 2022 – The Canadian Securities Administrators is publishing CSA Staff Notice 31-362 OBSI Joint Regulators Committee Annual Report for 2021.
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 Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca