December 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
December 2019
Securities - Notice of Teleconference Call in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.
December 20, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call 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 - Judgment of the Court of Appeal for Saskatchewan CACV 2969 in the Court of Appeal for Saskatchewan between Andrew Berger and Financial and Consumer Affairs Authority of Saskatchewan
December 19, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published Judgment of the Court of Appeal for Saskatchewan CACV 2969 in the Court of Appeal for Saskatchewan between Andrew Berger and Financial and Consumer Affairs Authority of Saskatchewan
For more information contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities - CSA Staff Notice 81-332 Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions
December 19, 2019 - The Canadian Securities Administrators published CSA Staff Notice 81-332 Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions
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 Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2020*
December 17, 2019 - The Canadian Securities Administrators published CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 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 - Order Approving Settlement Agreement in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott
December 10, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Approving Settlement Agreement in the Matter of 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 - Order Approving Settlement Agreement in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott
December 10, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Approving Settlement Agreement in the Matter of James Thomas Beck
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 Staff Notice 45-326 Update on: 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
December 11, 2019 - The Canadian Securities Administrators today published CSA Staff Notice 45-326 Update on: 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
For more information contact:
Mikale White, 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) 787-5899
Email: mikale.white@gov.sk.ca
Securities - Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause
December 3, 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
December 3, 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 Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca