July 2016

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

July 2016

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Securities – Notice of Application to Extend a Temporary Order in the Matter of Options Rider and Option One (Aust) Pty Ltd.

July 28, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Notice of Application to Extend a Temporary Order in the Matter of Options Rider and Option One (Aust) Pty Ltd.

Order Setting Hearing Dates - July 28, 2016

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 – Notice of Application to Extend a Temporary Order In the Matter of LBinary and Chelestra Limited

July 28, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Notice of Application to Extend a Temporary Order in the Matter of LBinary and Chelestra Limited.

Notice of Application to Extend a Temporary Order - July 28, 2016

For more information contact:

Securities – Notice of First Appearance and Statement of Allegations of Staff in the Matter of LBinary and Chelestra Limited

July 27, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Notice of First Appearance and Statement of Allegations of Staff in the Matter of LBinary and Chelestra Limited.

Notice of First Appearance - July 27, 2016

For more information contact:

Securities – Concentra Financial Services Association Decision pursuant to section 43 of Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting

July 29, 2016 - Decision pursuant to section 43 of Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting that Concentra Financial Services Association has been granted exemptive relief from the requirement to report valuation data.

Decision - July 29, 2016

Securities – The Securities Commission (Adoption of National Instruments, Report of Exempt Distributions) Amendment Regulations, 2016

July 28, 2016 - The Securities Commission (Adoption of National Instruments, Report of Exempt Distributions) Amendment Regulations, 2016 came into force on July 28, 2016.

Commission Amendment Regulations

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) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca

Securities - General Order 96-505 Exemptions from derivatives reporting requirements in Multilateral Instrument 96-101 - Trade Repositories and Derivatives Data Reporting for certain electricity-based derivatives

July 28, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has approved General Order 96-505 Exemptions from derivatives reporting requirements in Multilateral Instrument 96-101 - Trade Repositories and Derivatives Data Reporting for certain electricity-based derivatives.

General Order 96-505

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 - General Order 45-502 Exemptions from certain requirements in Form 45-106F1 Report of Exempt Distribution

July 28, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has approved General Order 45-502 Exemptions from certain requirements in Form 45-106F1 Report of Exempt Distribution.

This general order provides exemptions for certain foreign issuers from the requirement to identify purchasers as registrants or insiders in reports of exempt distribution.

General Order 45-502

For more information, please contact:

Securities – Notice of Application to Extend a Temporary Order and Extending Order In the Matter of Options Rider and Option One (Aust) Pty Ltd.

July 28, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a Notice of Application to Extend a Temporary Order and Extending Order In the Matter of Options Rider and Option One (Aust) Pty Ltd.

Notice of Application to Extend a Temporary Order (Redacted) and Extending Order

For more information contact:

Securities – Notice of First Appearance and Statement of Allegations In the Matter of Options Rider and Option One (Aust) Pty Ltd.

July 27, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a Notice of First Appearance and Statement of Allegations In the Matter of Options Rider and Option One (Aust) Pty Ltd.

Notice of First Appearance (Redacted) and Statement of Allegations

For more information contact:

Securities – CSA Staff Notice 11-331 Extension of Consultation Period

July 25, 2016 - On April 28, 2016 the Canadian Securities Administrators published for comment Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisors, Dealers, and Representatives Toward Their Clients. The comment period for the Consultation Paper has been extended from August 26, 2016 to September 30, 2016.

CSA Staff Notice 11-331

For 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
Phone: (306) 787-5871 Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca

Securities – EastWest Gold Corporation Decision pursuant to section 92 of The Securities Act, 1988

July 25, 2016 - Decision pursuant to section 92 of The Securities Act, 1988 that EastWest Gold Corporation is no longer a reporting issuer.

Decision - July 25, 2016

Securities – CSA Staff Notice 51-346 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016

July 18, 2016 - This notice contains the results of the reviews conducted by the Canadian Securities Administrators within the scope of their Continuous Disclosure Review Program (CD Review Program). The goal of the program is to improve the completeness, quality and timeliness of continuous disclosure provided by reporting issuers (issuers) in Canada. This program was established to assess the compliance of continuous disclosure (CD) documents and to help issuers understand and comply with their obligations under the CD rules so that investors receive high quality disclosure.

In this notice, we summarize the results of the CD Review Program for the fiscal year ended March 31, 2016 (fiscal 2016). Appendix A - Financial Statement, MD&A and Other Regulatory Deficiencies (Appendix A) includes information about areas where common deficiencies were noted, with examples in certain instances, to help issuers address these deficiencies and to illustrate best practices.

CSA Staff Notice 51-346

For more information 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 – Order In the Matter of AAoption, et al

July 14, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of AAoption, Galaxy International Solutions Ltd. and David Eshel.

Order - July 14, 2016

For more information contact:

Securities – General Order 96-502 Recognition and Exemption Order in the Matter of Chicago Mercantile Exchange Inc.

July 14, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) recognized Chicago Mercantile Exchange Inc. (CME) as a trade repository in Saskatchewan. FCAA also exempted CME from certain requirements of Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

General Order 96-502

For more information, please contact:

Securities – General Order 96-503 Recognition and Exemption Order in the Matter of Ice Trade Vault, LLC

July 14, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) recognized Ice Trade Vault, LLC (ICE) as a trade repository in Saskatchewan. FCAA also exempted ICE from certain requirements of Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

General Order 96-503

For more information, please contact:

Securities – General Order 96-504 Recognition and Exemption Order in the Matter of DTCC Data Repository (U.S.) LLC

July 14, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) recognized DTCC Data Repository (U.S.) LLC (DTCC) as a trade repository in Saskatchewan. FCAA also exempted DTCC from certain requirements of Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

General Order 96-504

For more information, please contact:

Securities – Caza Oil and Gas, Inc. Decision pursuant to section 92 of The Securities Act, 1988

July 11, 2016 - Decision pursuant to section 92 of The Securities Act, 1988 that Caza Oil and Gas, Inc. is no longer a reporting issuer.

Decision - July 11, 2016

Securities – Order Setting Hearing Dates in the Matter of EMO Resources Ltd. et al

July 8, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan today issued an Order Setting Hearing Dates in the Matter of EMO Resources Ltd., Abdulmenaf Avci, John S. Thornton, Paul Jenson, Elliot St. Claire, Commodities Market Edge LLC and Cliff Krause.

Order Setting Hearing Dates - July 8, 2016

For more information contact:

Securities – CSA Staff Notice 45-320 Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distributions

July 7, 2016 - On April 7, 2016, the Canadian Securities Administrators (the CSA) published amendments to National Instrument 45-106 Prospectus Exemptions (NI 45-106), which came into force in all CSA jurisdictions (except Saskatchewan) on June 30, 2016. The amendments to NI 45-106 introduced a new harmonized report of exempt distribution, Form 45-106F1 Report of Exempt Distribution.

This Notice addresses the granting of an exemption for certain foreign issuers from the requirement in Schedule 1 of Form 45-106F1 to identify whether a purchaser is a registrant or an insider of the issuer.

CSA Staff Notice 45-320

For information contact:

Securities – CSA Consultation Paper 95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives

July 7, 2016 - The Canadian Securities Administrators (the CSA) are publishing for comment CSA Consultation Paper 95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives.

The Consultation Paper proposes a framework for the calculation and exchange of margin and collateral relating to non-centrally cleared derivatives. The policy recommendations in this proposed framework are broadly consistent with international standards and substantially harmonized with the Office of the Superintendent of Financial Institutions’ margin requirements for federally regulated financial institutions.

The comment period ends on September 6, 2016.

CSA Consultation Paper 95-401 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives

For information contact:

Securities – CSA Notice and Request For Comment - Proposed Amendments to NI 31-103, 31-103CP, NI 33-109 and Related Forms

July 7, 2016 - The Canadian Securities Administrators (CSA) are seeking comments on proposals to amend the current regulatory framework for dealers, advisers and investment fund managers by publishing for comment proposed amendments to:

National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), including Form 31-103F1 Calculation of Excess Working Capital;
Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations (31-103CP), and
National Instrument 33-109 Registration Information (NI 33-109), including its appended forms.

The proposed amendments range from technical adjustments to more substantive matters and are organized into four tranches: "Custody Amendments", "Exempt Market Dealer Amendments", "Client Relationship Model Phase 2 Amendments" and "Housekeeping Amendments", each of which is described in the CSA Notice. The purpose of the proposed amendments is to promote stronger investor protection, to clarify certain regulatory requirements and to enhance certain market efficiencies.

The comment period ends on October 5, 2016.

For information contact:

Securities – The Securities Commission (Adoption of National Instruments, Early Warning System) Amendment Regulations, 2016

July 6, 2016 - The Securities Commission (Adoption of National Instruments, Early Warning System) Amendment Regulations, 2016 came into force on July 6, 2016.

Commission Amendment Regulation

For more information contact:

Securities – Order Setting Hearing Dates in the Matter of Ouroboros Derivatives Trading Ltd. et al

July 6, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order Setting Hearing Dates in the Matter of Ouroboros Derivatives Trading Ltd., anyoption and copyop.

Hearing will commence at 9:00 a.m (CST) on Tuesday, November 8, 2016.

Order Setting Hearing Dates - July 6, 2016

For more information contact:

Christina Meredith, Legal Counsel
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: Christina.Meredith@gov.sk.ca

Securities – General Order 45-501 Exemption from certain filing requirements

July 5, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has approved General Order 45-501 Exemption from certain filing requirements.

This general order provides an exemption from certain filing requirements.

General Order 45-501

For more information, please 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