June 2014
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
June 2014
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Securities – The FCAA has issued a decision in the Matter of AQR Capital Management, LLC
June 27, 2014 -The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) has issued a decision pursuant to section 83 of The Securities Act, 1988 in the Matter of AQR Capital Management, LLC.
Securities – CSA Staff Notice 21-313 Information Processor for Exchange-Traded Securities other than Options
June 27, 2014 - Canadian Securities Adminstrators staff are publishing this notice to inform the public that TMX Information Processor will continue to act as an information processor for exchange-traded securities other than options under National Instrument 21-101 Marketplace Operation for a period of four years from July 1, 2014 to June 30, 2018.
Securities – CSA Staff Notice 21-314 Information Processor for Corporate Debt Securities
June 27, 2014 - Canadian Securities Administrators staff are publishing this notice to inform the public that CanPX Inc. will continue to act as an information processor for corporate debt securities under National Instrument 21-101 Marketplace Operation for a period of 18 months from July 1, 2014 to December 31, 2015.
Securities – Tarku Resources Ltd. Decision pursuant to section 92 of The Securities Act, 1988
June 26, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Tarku Resources Ltd. is no longer a reporting issuer.
Securities – Sandstorm Metals & Energy Ltd. Decision pursuant to section 92 of The Securities Act, 1988
June 26, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Sandstorm Metals & Energy Ltd. is no longer a reporting issuer.
Securities – Canada Fluorspar Inc. Decision pursuant to section 92 of The Securities Act, 1988
June 25, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Canada Fluorspar Inc. is no longer a reporting issuer.
Securities – Prairie West Terminal Ltd. Decision pursuant to section 92 of The Securities Act, 1988
June 24, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Prairie West Terminal Ltd. is no longer a reporting issuer.
Securities – Adjournment In the Matter of Relative Resources Ltd.
June 20, 2014 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Adjournment In the Matter of Relative Resources Ltd.
For more information contact:
Dallas Smith, 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: dallas.smith@gov.sk.ca
Securities – CSA Notice of Amendments to NI 81-102, NI 81-106, NI 81-101, NI 41-101 and Related Consequential Amendments
June 19, 2014 - The Canadian Securities Administrators (the CSA or we) are adopting amendments (the Amendments) to the following rules, as part of Phase 2 of the CSA’s implementation of the Modernization of Investment Fund Product Regulation Project (the Modernization Project):
- National Instrument 81-102 Mutual Funds (NI 81-102);
- National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106);
- National Instrument 81-101 Mutual Fund Prospectus Disclosure (NI 81-101);
- National Instrument 41-101 General Prospectus Requirements (NI 41-101).
The references above to a national instrument include its form(s).
The CSA are also making changes (the Related Changes) to Companion Policy 81-102CP to National Instrument 81-102 Mutual Funds (81-102CP) and to Companion Policy 81-106CP to National Instrument 81-106 Investment Fund Continuous Disclosure (81-106CP).
Related consequential amendments and changes (collectively, the Consequential Amendments) set out in Annexes G to K are also being made to reflect the change in the title of NI 81-102.
Subject to Ministerial approval requirements, the Amendments, the Related Changes and the Consequential Amendments come into force on September 22, 2014.
- Notice (In effect September 22, 2014 – Subject to ministerial approval)
- Annex A – Summary of Changes to the 2013 Proposal
- Annex B – Summary of Public Comments and CSA Responses
- Annex C1 – Amendments to National Instrument 81-102
- Annex C2 – Blackline Showing Changes to CP 81-102CP to NI 81-102
- Annex D1 - Amendments to NI 81-106
- Annex D2 - Change to CP 81-106CP to NI 81-106
- Annex E - Amendments to NI 81-101
- Annex F - Amendments to NI 41-101
- Annex G1 - Amendments to NI 81-107
- Annex G2 - Changes to Commentary in NI 81-107
- Annex H - Amendments to Specified Instruments
- Annex I - Change to CP 81-104CP to NI 81-104
- Annex J - Change to CP 31-103CP
- Annex K - Change to NP 11-203
- Annex L - Local Matters (SK)
Securities – Touchstone Energy Inc. Decision pursuant to section 92 of The Securities Act, 1988
June 18, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Touchstone Energy Inc. is no longer a reporting issuer.
Securities – Extending Order in the Matter of Risk Capital International
June 18, 2014 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of Risk Capital International.
For more information contact:
Dallas Smith, 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: dallas.smith@gov.sk.ca
Securities – CSA Staff Notice 11-327 Extension of Consultation Period Propsed National Policy 25-201 Guidance for Proxy Advisory Firms
June 12, 2014 - Comment period originally scheduled to close on June 23, 2014 has been extended to July 23, 2014.
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 – Zedi Inc. Decision pursuant to section 92 of The Securities Act, 1988
June 11, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Zedi Inc. is no longer a reporting issuer.
Securities – Cease Trade Order in the Matter of Shane Resources Ltd.
June 11, 2014 - Cease Trade Order pursuant to subsection 134.1(2) of The Securities Act 1988 that all trading in the securities of Shane Resources Ltd. (the issuer) cease until the Issuer files the Required Records.
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 – Santonia Energy Inc. Decision pursuant to section 92 of The Securities Act, 1988
June 6, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that Santonia Energy Inc. is no longer a reporting issuer.
Securities – MEGA Brands Inc. Decision pursuant to section 92 of The Securities Act, 1988
June 5, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that MEGA Brands Inc. is no longer a reporting issuer.
Securities – 1810040 ALBERTA LTD. Decision pursuant to section 92 of The Securities Act, 1988
June 5, 2014 - Decision pursuant to section 92 of The Securities Act, 1988 that 1810040 ALBERTA LTD. is no longer a reporting issuer.
Securities – The Investment Industry Regulatory Organization of Canada - Approval of Revised Strip Bond Information Statement
June 4, 2014 - Decision pursuant to section 160 of The Securities Act, 1988 approving the Revised Strip Bond Information Statement from the Investment Industry Regulatory Organization of Canada.
Securities – Adjournment In the Matter of Kevin Kelly Krause
June 2, 2014 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Adjournment In the Matter of Kevin Kelly Krause.
For more information contact:
Dallas Smith, 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: 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