June 2021
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 2021
Securities - Order Setting Hearing Date in the Matter of Playa Exclusive Realty & Déjà Properties S.A. De C.V. and Santino Bellabono
June 25, 2021 - The Financial and Consumer Affairs Authority of Saskatchewan published a Oder Setting Hearing Date in the Matter of Playa Exclusive Realty & Déjà Properties S.A. De C.V. and Santino Bellabono.
For more information, contact:
Connor J Smith
Financial and Consumer Affairs Authority of Saskatchewan
Litigation Counsel
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5843
Fax: 306-787-5899
Email: connor.smith2@gov.sk.ca
Securities - Decision in the Matter of Gaetan Daniel Boulin
June 25, 2021 - The Financial and Consumer Affairs Authority of Saskatchewan published a Decision in the Matter of Gaetan Daniel Blouin.
For more information, contact:
Connor J Smith
Financial and Consumer Affairs Authority of Saskatchewan
Litigation Counsel
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5843
Fax: 306-787-5899
Email: connor.smith2@gov.sk.ca
Securities - Canadian Securities Regulators Release IIROC Oversight Review Report
June 25, 2021 – The Canadian Securities Administrators today released the Oversight Review Report that details the objectives, methodology used, report format, scope and an explanation of the priority of findings of the review for the period from September 1, 2019 to August 31, 2020.
For more information, contact:
Curtis Brezinski
Financial and Consumer Affairs Authority of Saskatchewan
Compliance Auditor, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5876
Fax: 306-787-5899
Email: curtis.brezinski@gov.sk.ca
Securities – General Order 33-501 Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
June 23, 2021 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing General Order 33-501 Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in Respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations with the effective date of June 30, 2021.
For more information, contact:
Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca
Securities – CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
June 23, 2021 – Today the Canadian Securities Administrators are publishing CSA Notice 31-360 Blanket Orders/Class Orders in respect of Transitional Relief Related to the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
For more information, contact:
Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca
Securities – CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions
June 23, 2021 – Today the Canadian Securities Administrators is publishing the CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions.
- CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions
- Appendix 1 Proposed Start-up Crowdfunding Guide for Businesses
- Appendix 2 Proposed Start-up Crowdfunding Guide for Funding Portals
Effective Date: Subject to the effective date of National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions.
For more information, contact:
Mikale White
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal Branch
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-798-3381
Fax: 306-787-5899
Email: mikale.white@gov.sk.ca
Securities – CSA Notice of Publication of National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
June 23, 2021 – Today the Canadian Securities Administrators is publishing the CSA Notice of Publication of National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions.
- CSA Notice of Publication of National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
- Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
- Amendments to National Instrument 45-102 Resale of Securities
- Annex A Key differences between the registration and prospectus exemptions under National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions and the Start-up Crowdfunding Blanket Orders
- Annex B List of Commenters and Summary of Comments and Responses
- Annex C National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
- Form 45-110F1 Offering Document
- Form 45-110F2 Risk Acknowledgement
- Form 45-110F3 Funding Portal Information
- Form 45-110F4 Portal Individual Information
- Form 45-110F5 Semi-Annual Financial Resources Certification
- Annex D CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions
- Appendix 1 Proposed Start-up Crowdfunding Guide for Businesses
- Appendix 2 Proposed Start-up Crowdfunding Guide for Funding Portals
- Annex D CSA Staff Notice 45-329 Guidance for using the start-up crowdfunding registration and prospectus exemptions
Effective Date: Subject to Ministerial Approval – September 21, 2021.
For more information, contact:
Mikale White
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal Branch
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-798-3381
Fax: 306-787-5899
Email: mikale.white@gov.sk.ca
Securities - Decision in the Matter of Darcy Lee Bergen
June 18, 2021, - The Financial and Consumer Affairs Authority of Saskatchewan published a Decision in the Matter of Darcy Lee Bergen.
For more information, contact:
Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca
Securities – CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents
June 10, 2021 – Today the Canadian Securities Administrators are publishing the revised CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents. This CSA Staff Notice was first published on March 15, 2019 and has now been revised.
For more information, contact:
Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca
Securities - Order Setting Hearing Dates in the Matter of Cashew De Oro Industrias Y Processamiento, S. A. Harold David Isaac Mans Meijer
June 2, 2021, 2021 - The Financial and Consumer Affairs Authority of Saskatchewan published Order Setting Hearing Dates in the Matter of Cashew De Oro Industrias Y Processamiento, S. A. Harold David Isaac Mans Meijer.
For more information, contact:
Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 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