January 2017

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

January 2017

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Securities – CSA Staff Notice 23-317 Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018

January 30, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 23-317 Order Protection Rule: Market Share Threshold for the period April 1, 2017 to March 31, 2018.

CSA Staff Notice 23-317

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 – Notice of Publication - CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols

January 26, 2017 - Staff of the Canadian Securities Administrators are publishing today in final form CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols (the Protocols). The Protocols are in Annex A to this Notice.

For more information, please contact:

Tony Herdzik, Deputy Director, Corporate Finance
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-5899
Email: tony.herdzik@gov.sk.ca

Securities – CSA Notice - Amendments to National Instrument 23-101 Trading Rules and Companion Policy 23-101CP to National Instrument 23-101 Trading Rules

January 26, 2017 - The Canadian Securities Administrators have approved amendments to National Instrument 23-101 Trading Rules and its related Companion Policy.

In effect April 10, 2017, subject to ministerial approval.

For more inormation, please 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
Phone: (306) 787-5871 Fax: (306) 787-5899
Email: Liz.Kutarna@gov.sk.ca

Securities – Temporary Order In the Matter of American Commodities Group and Jack Summers

January 23, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order in the Matter of American Commodities Group and Jack Summers.

Temporary Order - January 23, 2017

For more information contact:

Christina Meredith, 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: christina.meredith@gov.sk.ca

Securities – CSA Notice of National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Related Companion Policy

January 19, 2017 - The Canadian Securities Administrator are adopting:

National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives (the Instrument), including:
- Form 94-101F1 Intragroup Exemption
- Form 94-101F2 Derivatives Clearing Services
Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives

This Instrument is part of the ongoing implementation of Canada’s commitments in relation to global OTC derivatives markets reforms stemming from the G20 commitments of 2009 in response to the financial crisis

In effect April 4, 2017, subject to ministerial approval.

For more information, please contact:

Securities – CSA Notice of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy

January 19, 2017 - The Canadian Securities Administrators are adopting:

National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions including:
- Form 94-102F1 Customer Collateral Report: Direct Intermediary
- Form 94-102F2 Customer Collateral Report: Indirect Intermediary
- Form 94-102F3 Customer Collateral Report: Regulated Clearing Agency ; and
Companion Policy 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

In effect July 3, 2017, subject to ministerial approval.

For more information, please contact:

Securities – CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions

January 19, 2017 - The Canadian Securities Administrators are publishing CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions.

CSA Staff Notice 11-334

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 – Statement of Allegations of Staff of Financial and Consumer Affairs Authority of Saskatchewan In the Matter of Titan Trade and Titan Trade Solutions Limited

January 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Statement of Allegations of Staff of Financial and Consumer Affairs Authority of Saskatchewan In the Matter of Titan Trade and Titan Trade Solutions Limited.

Statement of Allegations - January 19, 2017

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 Imperial Options and Global Transactions LP

January 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Imperial Options and Global Transactions LP.

Extending Order - January 18, 2017

For more information contact:

Securities – General Order 96-508 Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting

January 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved General Order 96-508 Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

General Order 96-508

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 – Multilateral CSA Staff Notice 45-322 Potential Concerns with the Structure of Rights Offerings

January 12, 2017 - Staff of the Ontario Securities Commission, Autorité des marches financiers, Financial and Consumer Affairs Authority of Saskatchewan, Manitoba Securities Commission and Alberta Securities Commission are issuing this notice to highlight potential concerns regarding the use of the rights offering prospectus exemption under section 2.1 of National Instrument 45-106 Prospectus Exemptions.

CSA Staff Notice 45-322

For more information, please contact:

Tony Herdzik, Deputy Director, Corporate Finance
Securities 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 – CSA Consultation Paper 81-408 - Consultation of the Option of Discontinuing Embedded Commissions

January 10, 2016 - With the publication of the CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions, the CSA are seeking input on the option of discontinuing embedded commissions. With the objective of making an informed decision, the CSA are specifically seeking input on:

The potential effects on investors and market participants of discontinuing embedded commissions, including the provision and accessibility of advice for Canadian investors, and business models and market structure;
Potential measures that could assist in mitigating any negative impacts of such a change, if a decision is made to move forward; and,
Alternative options that could sufficiently manage or mitigate the identified investor protection and market efficiency issues.

The comment period ends June 9, 2017.

CSA Consultation Paper 81-408

For more information, please contact:

Heather Kuchuran, Senior Securities Analyst, 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 – Notice of First Appearance in the Matter of Ronald James Aitkens, et al

January 5, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan issued a Notice of First Appearance in the Matter of Ronald James Aitkens, et al.

Notice of First Appearance - January 5, 2017

For more information contact:

Nathanial Day, Legal Counsel, Legal
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: nathanial.day@gov.sk.ca

Securities – The Securities Commission (Adoption of National Instruments, MI 91-101) Amendment Regulations, 2016

January 5, 2017 - The Securities Commission (Adoption of National Instruments, MI 91-101) Amendment Regulations, 2016 came into force on January 5, 2017.

Commission Amendment Regulation

For more information contact:

Securities – Extending Order In the Matter of Douglas Taylor

January 4, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Douglas Taylor.

Extending Order - January 4, 2017

For more information contact:

Securities – Temporary Order In the Matter of Imperial Options and Global Transactions LP

January 4, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order in Matter of the Imperial Options and Global Transactions LP.

Temporary Order - January 4, 2017

For more information contact:

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

Email: fcaa@gov.sk.ca