October 2019
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
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
- CSA Notice and Request for Comment
- Annex A - Proposed Amendments to National Instrument 52-108
- Annex B - Proposed Changes to Companion Policy 52-108
- Annex C - Local Matters
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.
- CSA Notice of Amendments to NI 31-103
- Annex A - Summary of Changes to the Instrument
- Annex B - Summary of Comments on the Proposals and Responses
- Annex C - List of Commenters
- Annex D - Adoption of the Amendments
- Annex E - Amendments to NI 31-103
- Annex E1 - Blackline Showing Changes to NI 31-103
- Annex E2 - Blackline Showing Changes to 31-103CP
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, 2019 - The 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