April 2013
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
April 2013
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Securities – Canadian Securities Regulators Undertake Review Following Loss of Personal Information
April 26, 2013 - The Canadian Securities Administrators (CSA) announced that, as part of its ongoing oversight, it is reviewing the Investment Industry Regulatory Organization of Canada’s (IIROC) policies, procedures and controls as a result of the recent accidental loss of a portable device containing personal information about clients of some IIROC member firms.
Media Contact:
Daniela Machuca, Senior Communications Consultant
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-4160
Fax: (306) 787-9006
Securities – CSA Announced New Service Provider for the Operation of the CSA National Systems
April 25, 2013 - The Canadian Securities Administrators (CSA) are pleased to announce that a new service agreement has been entered into with CGI Information Systems and Management Consultants Inc. (CGI) pursuant to which CGI will take over the hosting, operation and maintenance of the System for Electronic Documents Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI) and the National Registration Database (NRD) (collectively, the CSA National Systems) later this year when the agreement with the current service provider expire.
For more information contact:
Tony Herdzik, Deputy Director
Corporate Finance Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-5899
Email: tony.herdzik@gov.sk.ca
Media Contact:
Daniela Machuca, Senior Communications Consultant
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-4160
Fax: (306) 787-9006
Securities – Nexen Inc. Decision pursuant to section 92 of The Securities Act, 1988
April 24, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that NexenInc. of Canada is no longer a reporting issuer.
Securities – Revocation Order in the Matter of Hampton House Limited Partnership
April 24, 2013 - The Financial and Consumer Affairs Authority (FCAA) has issued an order in the Matter of Hampton House Limited Partnership advising that the cease trade order dated October 20, 2011 is revoked.
For more information contact:
Tony Herdzik, Deputy Director
Corporate Finance Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-5899
Email: tony.herdzik@gov.sk.ca
Securities – Cantronic Systems Inc. Decision pursuant to section 92 of The Securities Act, 1988
April 23, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Cantronic Systems Inc. of Canada is no longer a reporting issuer.
Securities – Barclays Capital Inc. et al Decision pursuant to section 160 of The Securities Act, 1988
April 23, 2013 - Decision pursuant to subsection 160 of The Securities Act, 1988 In the Matter of Barclays Capital Inc., Barclays Capital Canada Inc., Citigroup Global Markets Inc., Citigroup Global Markets Canada Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Limited, HSBC Securities (USA) Inc., HSBC Securities (Canada) Inc., J.P. Morgan Securities LLC, J.P. Morgan Securities Canada Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Canada Inc., RBC Capital Markets, LLC, RBC Dominion Securities Inc., Scotia Capital (USA) Inc., Scotia Capital Inc., UBS Securities LLC and UBS Securities Canada Inc.
Securities – Barclays Capital Inc. et al Decision pursuant to subsection 44(3) of The Securities Act, 1988
April 23, 2013 - Decision pursuant to subsection 44(3) of The Securities Act, 1988 In the Matter of Barclays Capital Inc., Barclays Capital Canada Inc., Citigroup Global Markets Inc., Citigroup Global Markets Canada Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Limited, HSBC Securities (USA) Inc., HSBC Securities (Canada) Inc., J.P. Morgan Securities LLC, J.P. Morgan Securities Canada Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Canada Inc., RBC Capital Markets, LLC, RBC Dominion Securities Inc., Scotia Capital (USA) Inc., Scotia Capital Inc., UBS Securities LLC and UBS Securities Canada Inc.
Securities – Extending Order in the Matter of Ocean InternationaL Ltd et al
April 22, 2013 - The Financial and Consumer Affairs Authority issued an Extending Order in the Matter of Ocean International Ltd., Wealth Capital Corp, Manhattan Capital Corp, James Lee, Jamie Lyons, Jamie Marsh and Roger White.
For more information contact:
Dallas Smith, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
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 H.H. Fast Investments Ltd. et al
April 22, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) has issued a Notice of Adjournment In The Matter of H.H. Fast Investments Ltd., Eldred Fast, Beverly Letkeman and Cindylee Sanson. Hearing adjourned sine die.
For more information, please contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities – The Securities Commission (Adoption of National Instruments) Amendment Regulations, 2013 (No. 2) come into force
April 18, 2013 - The Securities Commission (Adoption of National Instruments) Amendment Regulations, 2013 (No.2) came into force on April 18, 2013. The regulation amend Multilateral Instrument 11-102 Passport System. The amendments are as a result of changes to National Instrument 21-101 Marketplace Operation (NI 21-101); National Instrument 23-103 Electronic Tradingand Direct Electronic Access to Marketplaces (NI 23-101); and National Instrument 25-101 Designated Rating Organizations (NI 25-101).
For more information contact:
Dean Murrison, Director
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5842
Fax: (306) 787-5899
Email: dean.murrison@gov.sk.ca
Securities – Canadian Securities Administrators (CSA) Seek Input on Derivatives: Registration
April 18, 2013 - The Canadian Securities Administrators today announced that they are seeking input on the issues outlined in this public consultation paper. Comment period ends: June 17, 2013.
Securities – In the Matter of H.H. Fast Investments Ltd. et al - Settlement Agreement with H.H. Fast Investments Ltd., Eldred Fast, Beverly Letkeman, Cindylee Sanson
April 18, 2013 - Financial and Consumer Affiars Authority Settlement Agreement with H.H. Fast Investments Ltd., Eldred Fast, Beverly Letkeman and Cindylee Sanson.
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
Securities – Canadian Securities Administrators Release MFDA Oversight Review Report
April 17, 2013 - The Canadian Securities Administrators (CSA) today released the Oversight Review Report on the performance of the Mutual Fund Dealers Association of Canada (MFDA)
Securities – The Financial and Consumer Affairs Authority of Saskatchewan Notice of Adjournment in the Matter of Alena Marie Pastuch et al
April 16, 2013 – The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) has issued a Notice of Adjournment in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd. and Cryptguard Ltd. The hearing will commence on Wednesday May 29, 2013.
For more information, please contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Saskatchewan Financial Services Commission
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities – Notice of Call to Schedule Hearing Dates in the Matter of Scorpion Performance, Inc. and Megan White
April 15, 2013 - today the Financial and Consumer Affairs Authority (FCAA) issued a Notice of Call to Schedule Hearing Dates in the matter of Scorpion Performance, Inc. and Megan White.
For more information please contact:
Ola Ben-Ajayi, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-3381
Fax: (306) 798-3381
Email: ola.ben-ajayi@gov.sk.ca
Securities – Notice of Application to Extend a Temporary Order in the Matter of Ocean International Ltd et al
April 10, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) will hear an application filed by Staff of the FCAA in the matter of Ocean International Ltd, Wealth Capital Corp, Manhattan Capital Corp, James Lee, Jamie Lyons, Jamie Marsh and Roger White, via teleconference on Monday, April 22, 2013 at 9:30 a.m. (CST).
For more information please contact:
Dallas Smith, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5843
Fax: (306) 787-5899
Email: Dallas.Smith@gov.sk.ca
Securities – SMTC Manufacturing Corporation of Canada Decision pursuant to section 92 of The Securities Act, 1988
April 8, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that SMTC Manufacturing Corporation of Canada is no longer a reporting issuer.
Securities – Talison Lithium Limited Decision pursuant to section 92 of The Securities Act, 1988
April 8, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Talison Lithium Limited is no longer a reporting issuer.
Securities – Invesco Canada Ltd. Decision pursuant to section 160 of The Securities Act, 1988
April 5, 2013 - Decision pursuant to section 160 of The Securities Act, 1988 ganting Invesco Canada Ltd. relief from the Confirmation Requirement.
Securities – Gilead YM ULC Decision pursuant to section 92 of The Securities Act, 1988
April 4, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Gilead YM ULC is no longer a reporting issuer.
Securities – Government Strip Bond Trust Decision pursuant to section 92 of The Securities Act, 1988
April 3, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Government Strip Bond Trust is no longer a reporting issuer.
Securities – Molycorp Minerals Canada ULC Decision pursuant to section 92 of The Securities Act, 1988
April 3, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Molycorp Minerals Canada ULC is no longer a reporting issuer.
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca