August 2020

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

August 2020

Securities - Cease Trade Order in the Matter of Grow Solutions Holdings, Inc.

August 31, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Cease Trade Order in the Matter of Grow Solutions Holdings, Inc.

Cease Trade Order - August 31, 2020

For more information contact:
Heather Kuchuran, Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.1009
Fax: 306.787.5899
Email: heather.kuchuran@gov.sk.ca

Securities - Statement of Allegations in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews

August 28, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published the Statement of Allegations in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews.

Statement of Allegations - May 1, 2020

For more information contact:
Grace Hession David, Legal Counsel
Legal, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5843
Fax: 306.787.5899
Email: grace.hessiondavid@gov.sk.ca

Securities - The Securities Commission (Adoption of National Instruments) (NI-21-101) Amendment Regulations, 2020 (No.2)

August 28, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (NI-21-101) Amendment Regulations, 2020 (No.2) relating to the streamlining of reporting requirements for marketplaces and information processors.

The Securities Commission (Adoption of National Instruments) (NI-21-101) Amendment Regulations, 2020 (No.2)

For more information contact:
Sonne Udemgba, Director
Legal, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5879
Fax: 306.787.5899
Email: sonne.udemgba@gov.sk.ca

Securities - General Order 11-916 In the Matter of The Securities Act, 1988 and in the Matter of the Investment Industry Regulatory Organization of Canada (IIROC) Designation Order

August 27, 2020 - Today the Financial and Consumer Affairs Authority of Saskatchewan published General Order 11-916 In the Matter of The Securities Act, 1988 and in the Matter of the Investment Industry Regulatory Organization of Canada (IIROC) Designation Order designating IIROC as an information processor for Unlisted Debt Securities pursuant to section 26.1 of The Securities Act, 1988.

General Order 11-916

Securities - CSA Staff Notice 31-359 OBSI Joint Regulators Committee Annual Report for 2019

August 27, 2020 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 31-359 OBSI Joint Regulators Committee Annual Report for 2019.

CSA Staff Notice 31-359

For more information contact:
Liz Kutarna, Director
Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5871
Fax: 306.787.5899
Email: liz.kutarna@gov.sk.ca

Securities - CSA Summary Report 2016-2019 Investor Research Findings on the Impact of CRM2 and POS on Investor Knowledge, Attitudes and Behaviour

August 27, 2020 - Today the Canadian Securities Administrators are publishing CSA Summary Report 2016-2019 Investor Research Findings on the Impact of CRM2 and POS on Investor Knowledge, Attitudes and Behaviour.

CSA Summary Report

For more information contact:
Heather Kuchuran, Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.1009
Fax: 306.787.5899
Email: heather.kuchuran@gov.sk.ca

Securities - The Securities Commission (Adoption of National Instruments) (Miscellaneous) Amendment Regulations, 2020

August 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (Miscellaneous) Amendment Regulations, 2020.

The Securities Commission (Adoption of National Instruments) (Miscellaneous) Amendment Regulations, 2020

Securities - The Securities Commission (Adoption of National Instruments) (NI 44-102) Amendment Regulations, 2020

August 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (NI 44-102) Amendment Regulations, 2020 relating to At-the-Market-Distributions.

The Securities Commission (Adoption of National Instruments) (NI 44-102) Amendment Regulations, 2020

Securities - The Securities Commission (Adoption of National Instruments) (NI 21-101) Amendment Regulations, 2020

August 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (NI 21-101) Amendment Regulations, 2020 relating to post-trade transparency of trades in Government Debt Securities and expanded transparency of Trades in Corporate Securities.

The Securities Commission (Adoption of National Instruments) (NI 21-101) Amendment Regulations, 2020

Securities - In-person hearings continue to be on hold

August 20, 2020 - The Financial and Consumer Affairs Authority (FCAA) continues to take all necessary precautions to protect the health and safety of its employees and the public as we respond to challenges due to COVID-19. We continue to monitor information available concerning the public health risks posed by COVID-19. In order to protect our employees and the public, the FCAA has decided to not hold in-person hearings pursuant to The Securities Act, 1988, until otherwise published.

Matters which were originally scheduled to be heard by way of an in-person hearing prior to August 31, 2020, and that have not yet been adjourned sine die, are hereby adjourned sine die. Counsel and/or self-represented litigants may make arrangements with the Registrar to reschedule such matters for an in-person hearing once regular operations resume or, in the event a party wishes to proceed with a matter sooner, that party may apply to the Hearing Panel for leave to proceed by way of an alternative method, including a virtual hearing.

Guidelines for Hearings during a Pandemic

Securities - Changes to Start-up Crowdfunding Guides

August 20, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) is adopting changes to the Start-up Crowdfunding Guides published on May 14, 2015 and revised on February 24, 2016, June 30, 2016 and December 1, 2017. FCAA has made changes to the Start-up Crowdfunding Guides to include all participating jurisdictions. For ease of reference, the FCAA has also created a new Guide by removing "Preparing an offering document" portion from the "Start-up Crowdfunding Guide for Businesses with a Head Office in Saskatchewan".

For more information contact:
        Mikale White, Legal Counsel
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Tel: 306.798.3381
        Fax: 306.787.5899
        Email: mikale.white@gov.sk.ca

Securities - Joint CSA/IIROC Staff Notice 23-327 Update on Internalization within the Canadian Equity Market

August 20, 2020 - The Canadian Securities Administrators are publishing Joint CSA/IIROC Staff Notice 23-327 Update on Internalization within the Canadian Equity Market.

CSA Staff Notice 23-327

For more information contact:
Liz Kutarna, Deputy Director
Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5871
Fax: 306.787.5899
Email: liz.kutarna@gov.sk.ca

Securities - CSA Notice of Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements

August 20, 2020 - The Canadian Securities Administrators are publishing CSA Notice of Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements.

For more information contact:
Matthew Young, Senior Securities Analyst
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.6067
Fax: 306.787.5899
Email: matthew.young@gov.sk.ca

Securities - The Securities Commission (Adoption of National Instruments) (NI 81-105) Amendment Regulations, 2020

August 19, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (NI 81-105) Amendment Regulations, 2020 relating to Prohibition of Deferred Sales Charges for Investment Funds.

The Securities Commission (Adoption of National Instruments) (NI 81-105) Amendment Regulations, 2020

For more information contact:
Sonne Udemgba, Deputy Director
Legal, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5879
Fax: 306.787.5899
Email: sonne.udemgba@gov.sk.ca

Securities - Sanctions Order in the Matter of Trade12, Global Fin Services Limited and Exo Capital Markets Limited

August 13, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Sanctions Order in the Matter of Trade12, Global Fin Services Limited and Exo Capital Markets Limited

Sanctions Order - August 12, 2020

Securities - Notice of First Appearance in the Matter of Valt.X Holdings Inc., Dennis Meharchand and Ivan Loris Murray

August 12, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of First Appearance in the Matter of Valt.X Holdings Inc., Dennis Meharchand and Ivan Loris Murray

Notice of First Appearance - August 12, 2020

Securities - Notice of First Appearance in the Matter of Fluid FX, Paul Anderson, Alan P. Howard, and John Andrews

August 7, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of First Appearance in the Matter of Fluid FX, Paul Anderson, Alan P. Howard, and John Andrews

Notice of First Appearance - August 7, 2020

Securities - CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages

August 6, 2020 - Today the Canadian Securities Administrators are publishing CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages which include changes to the prospectus and registration exemptions available for the distribution of syndicated mortgages.

CSA Notice of Amendments to NI 45-106 and NI 31-103

Securities - CSA Staff Notice 11-342 Notice of Local Amendments and Changes in Certain Jurisdictions

August 6, 2020 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 11-342 Notice of Local Amendments and Changes in Certain Jurisdictions

CSA Staff Notice 11-342

Securities - Order Waiving Service in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews

August 5, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Order Waiving Service in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews

Order Waiving Service - August 5, 2020

Securities - Canadian Securities Regulators Release IIROC Oversight Review Report

August 5, 2020 - The Canadian Securities Administrators today released the Oversight Review Report that details the objectives, methodology used, report format, scope and an explanation of the priority of findings of the review for the period from September 1, 2018 to August 31, 2019.

IIROC Review Report - August 5, 2020

For more information contact:
Curtis Brezinski, Compliance Auditor
Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: 306.787.5876
Fax: 306.787.5899
Email: curtis.brezinski@gov.sk.ca

Securities - In-person hearings continue to be on hold

August 4, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) continues to take all necessary precautions to protect the health and safety of its employees and the public as we respond to challenges due to COVID-19. We continue to monitor information available concerning the public health risks posed by COVID-19. In order to protect our employees and the public, the FCAA has decided to extend its decision to not hold in-person hearings pursuant to The Securities Act, 1988, until at least August 31, 2020.

Matters which were originally scheduled to be heard prior to August 31, 2020, and that have not yet been adjourned sine die, are hereby adjourned sine die. Counsel and/or self-represented litigants may make arrangements with the Registrar to reschedule such matters once regular operations resume. In the event parties wish to proceed prior to August 31, 2020, that party may apply to the Hearing Panel for leave to proceed by way of an electronic or written hearing.

The Registrar will continue to receive Statements of Allegations, Motions or other filings by email at registrarfcaa@ gov.sk.ca in accordance with Saskatchewan Policy Statement 12-602, Procedure for Hearings and Reviews.

For further information, the Registrar can be contacted by email at registrarfcaa@gov.sk.ca or by phone at (306) 787-5646. The co-operation and understanding of all involved during this difficult and challenging time continues to be appreciated.

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

Email: fcaa@gov.sk.ca