June 2017
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 2017
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Securities – General Order 94-501 Exempting certain counterparties from mandatory clearing, 2017
June 30, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued General Order 94-501 Exempting certain counterparties from mandatory clearing, 2017.
- General Order 94-501
- 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 – General Order 81-501 Exemption from Prescribed Text of Mutual Fund Audit Reports
June 30, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued General Order 81-501 Exemption from Prescribed Text of Mutual Fund Audit Reports. This order came into effect June 30, 2017.
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 – Order For Costs In the Matter of AAoption et al
June 29, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order For Costs In the Matter of AAoption, Galaxy International Solutions Ltd. and David Eshel.
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) 787-5789
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities – CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-102 Resale of Securities – Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities
June 29, 2017 - Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-102 Resale of Securities – Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities.
The comment period ends September 27, 2017.
- CSA Notice and Request for Comment - Proposed Amendments to National Instrument 45-102 Resale of Securities - Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities - Proposed Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed Consequential Changes to National Policy 11-206 Process for Cease to be a Reporting Issuer Applications
- Annex A - Proposed Amendments to National Instrument 45-102 Resale of Securities
- Annex B - Proposed Changes to Companion Policy 45-102 to National Instrument 45-102 Resale of Securities
- Annex C - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Annex D - Proposed Changes to National Policy 11-206 Process for Cease to Be a Reporting Issuer Applications
- Annex E - Local Matters
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 – The Securities Commission (Adoption of National Instruments) (NI 94-102) Amendment Regulations, 2017
June 27, 2017 - The Securities Commission (Adoption of National Instruments) (NI 94-102) Amendment Regulations, 2017 comes into force in Saskatchewan on July 3, 2017.
For more information 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 – CSA Staff Notice 51-350 Extension of Consultation Period
June 22, 2017 - On April 6, 2017 the Canadian Securities Administrators published Consultation Paper 51-404 Consideration for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers for a 90-day comment period, expiring July 7, 2017. Today, as per CSA Staff Notice 51-350, the comment period has been extended to July 28, 2017.
For 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 – Sanctions Order in the Matter of Gregory Todd Whiteside and Megan Whiteside
June 20, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Sanctions Order in the Matter of Gregory Todd Whiteside and Megan Whiteside.
For more information contact:
Dallas Smith, Legal Counsel
Securities Division
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 – Order In the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott
June 15, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of SHEC Energy Corporation, James Thomas Beck and 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 – CSA Staff Notice 93-301 Derivatives Business Conduct Rule - No Overlap with Derivatives Registration Rule Comment Period
June 15, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period.
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 – Extending Order In the Matter of Capital Force Ltd.
June 14, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Capital Force Ltd.
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 FMTrader
June 14, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of FMTrader.
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 Multilateral Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution
June 8, 2017 - The Canadian Securities Administrators are publishing CSA Multilateral Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution.
The comment period ends September 6, 2017.
- CSA Multilateral Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution
- Annex A - Proposed Amendments to NI 45-106
- Annex B - Proposed Amendments to Item 10 - Certification of Form 45-106F1 Report of Exempt Distribution
- Annex C - Blackline of Amended Form 45-106F1
- Annex D - Local Matters
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) 787-5879
Email: tony.herdzik@gov.sk.ca
Securities – CSA Multilateral Staff Notice 81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of National Instrument 81-102 Investment Funds
June 8, 2017 - Today the Canadian Securities Administrators are publishing CSA Multilateral Staff Notice 81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of National Instrument 81-102 Investment Funds.
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) 787-5876
Fax: (306) 787-1009
Email: heather.kuchuran@gov.sk.ca
Securities – Order In the Matter of FMTrader
June 2, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of FMTrader.
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 In the Matter of Capital Force Ltd.
June 2, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of Capital Force Ltd.
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 – Amendment of General Order 96-508 Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting
June 1, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved an amendment to General Order 96-508 Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting. This order came into effect January 18, 2017.
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 Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca