July 2017

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

July 2017

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Securities – CSA Staff Notice 51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017

July 27, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017.

CSA Staff Notice 51-351

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 of Amendments to NI 31-103 Registration Requirements, Exemptions, and Ongoing Registrant Obligations and CP 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, and NI 33-109 Registration Information and CP 33-109CP Registration Information

July 27, 2017 - The Canadian Securities Administrators have approved amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, and Companion Policy 33-109CP Registration Information.

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

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

Securities – Decision In the Matter of Adele Kaminsky, carrying on business as AK Financial Planning Services

July 20, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Decision In the Matter of Adele Kaminsky, carrying on business as AK Financial Planning Services.

Decision - July 20, 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 – Order Setting Hearing Dates In the Matter of Imperial Options et al

July 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order Setting Hearing Dates In the Matter of Imperial Options et al.

Order Setting Hearing Dates - July 19, 2017

For more information contact:

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

July 19, 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 - July 19, 2017

For more information contact:

Securities – Extending Order In the Matter of Global Capital Ltd.

July 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of Global Capital Ltd.

Extending Order - July 19, 2017

For more information contact:

Securities – International Road Dynamics Inc. Decision pursuant to section 92 of The Securities Act, 1988

July 17, 2017 - Decision pursuant to section 92 of The Securities Act, 1988 that International Road Dynamics Inc. ceases to be a reporting issuer.

Decision - July 17, 2017

Securities – CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions

July 13, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions.

CSA Staff Notice 31-349

For more information, please contact:

Curtis Brezinski, Compliance Auditor, Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5876
Fax: (306) 787-5899
Email: curtis.brezinski@gov.sk.ca

Securities – CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration

July 13, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration.

CSA Staff Notice 33-320

For more information, please contact:

Securities – Amendment of Saskatchewan Policy Statement 12-602 Procedure for Hearings and Reviews

July 13, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved an amendment to Saskatchewan Policy Statement 12-602 Proceedure for Hearings and Reviews.

Saskatchewan Policy Statement - July 13, 2017

For more information contact:

Dean Murrison, Director
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5842
Fax: (306) 787-5899
Email: dean.murrison@gov.sk.ca

Securities – CSA Staff Notice 94-301 Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing

July 6, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 94-301 Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing.

For more information contact:

Sonne Udemgba, Deputy Director, Legal
Securities Divisiion
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Email: sonne.udemgba@gov.sk.ca

Securities – CSA Staff Notice 23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules

July 6, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules.

CSA Staff Notice 23-318

For more information contact:

Securities – CSA Notice and Request for Comment Relating to Designated Rating Organizations

July 6, 2017 - The Canadian Securities Administrators are publishing for a 90-day comment period proposed amendments to:

National Instrument 25-101 Designated Rating Organizations
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument 33-109 Registration Information
National Instrument 41-101 General Prospectus Requirements
National Instrument 44-101 Short Form Prospectus Distributions
National Instrument 44-102 Shelf Distributions
National Instrument 45-106 Prospectus Exemptions
National Instrument 51-102 Continuous Disclosure Obligations
National Instrument 81-102 Investment Funds
National Instrument 81-106 Investment Fund Continuous Disclosure

We are also publishing for a 90-day comment period proposed changes to:

Companion Policy 21-101CP Marketplace Operation
Companion Policy 81-102CP Investment Funds.

The comment period ends October 4, 2017.

For more information, please contact:

Mikale White, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-3381
Fax: (306) 787-5899
Email: mikale.white@gov.sk.ca

Securities – Canadian Securities Regulators Release IIROC Oversight Review Report

July 4, 2017 - The Canadian Securities Administrators (CSA) today released the Oversight Review Report that details the objectives, methodology, frame of reference, report format, scope, overall assessment, and findings of the review for the period from April 1, 2015 to July 31, 2016.

IIROC Oversight Review Report

For more information contact:

Securities – Temporary Order In the Matter of Global Capital Ltd.

July 4, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order In the Matter of Global Capital Ltd.

Temporary Order - July 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