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Financial and Consumer Affairs Authority of Saskatchewan

FCAA is Saskatchewan’s financial and consumer marketplace regulator.

October 2019

  • October 2019

    Securities - Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin

    October 30, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin.

    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

     


     

    Securities - Order Setting Hearing Dates in the Matter of SHEC Energy Corporation, James Thomas Beck, and Terrence Michael Stott

    October 21, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Setting Hearing Dates in the Matter of SHEC Energy Corporation, James Thomas Beck, and Terrence Michael Stott

    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

     


     

    Securities - Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause

    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

     


     

    Securities - Notice of Teleconference Call in the Matter of Vision Financial Markets LLC and Cliff Krause

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of Vision Financial Markets LLC and Cliff Krause

    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

     


     

    Securities - Amended Statement of Allegations in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Amended Statement of Allegations in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    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

     


     

    Securities - Extending Order in the Matter of ASBCFinancial and Walter Turner

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of ASBCFinancial and Walter Turner

    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

     


     

    Securities - Order Setting Hearing Dates in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Setting Hearing Dates in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    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

     


     

    Securities - Order in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

    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

     


     

    Securities - Notice of First Appearance in the Matter of Gaetan Daniel Blouin

    October 11, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of First Appearance in the Matter of Gaetan Daniel Blouin

    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

     


     

    Securities - Extending Order in the Matter of United Financial Commodity Group, United FCG, UFCG Limited and UFCG Ltd.

    October 11, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of United Financial Commodity Group, United FCG, UFCG Limited and UFCG Ltd.

    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

     


     

    Securities - Notice of Teleconference Call in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

    October 8, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

    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

     


     

    Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

    October 3, 2019 - The Canadian Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

    The comment period ends January 2, 2020.

    For more information contact:
            Heather Kuchuran, Acting Deputy Director, Corporate Finance
            Securities Division
            Financial and Consumer Affairs Authority
            Suite 601, 1919 Saskatchewan Drive
            Regina, Saskatchewan  S4P 4H2
            Phone:  (306) 787-1009
            Fax:  (306) 787-5899
            Email: heather.kuchuran@gov.sk.ca

     


     

    Securities - CSA Notice of 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 Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

    October 3, 2019 - The Canadian Securities Administrators today published CSA Notice of 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 Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

    In effect December 31, 2019, subject to ministerial approval and with a phased in transition period.

    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 

     


     

    Securities - Extending Order in the Matter of ASBCFinancial and Walter Turner

    October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of ASBCFinancial and Walter Turner

    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

     


     

    Securities - Notice of Adjournment in the Matter of ASBCFinancial and Walter Turner

    October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Adjournment in the Matter of ASBCFinancial and Walter Turner

    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

     


     

    Securities - Notice of Teleconference Call in the Matter of ASBCFinancial and Walter Turner

    October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of ASBCFinancial and Walter Turner

    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

     


     

    Securities - CSA Multilateral Staff Notice Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

    October 2, 2019The Canadian Securities Administrators today published CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

    For more information contact:
            Heather Kuchuran, Acting Deputy Director, Corporate Finance
            Securities Division
            Financial and Consumer Affairs Authority
            Suite 601, 1919 Saskatchewan Drive
            Regina, Saskatchewan  S4P 4H2
            Phone:  (306) 787-1009
            Fax:  (306) 787-5899
            Email: heather.kuchuran@gov.sk.ca

     


     

    Securities - Extending Order in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

    October 1, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

    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

     

     

    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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