March 2019
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
March 2019
Securities – Statement of Allegations in the Matter of Coperstone Limited, Coperstone Partners Limited, Chad Neuburger and Randall Silverman
March 15, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan issued a Statement of Allegations in the Matter of Coperstone Limited, Coperstone Partners Limited, Chad Neuburger and Randall Silverman
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 21-326 Guidance for Reporting Material Systems Incidents
March 15, 2019 - The Canadian Securities Administrators today published CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents
For more information 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 - CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents
March 15, 2019 - The Canadian Securities Administrators today published CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents
For more information 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 – Adjournment and Extending Order in the Matter of ASBCFinancial and Walter Turner
March 15, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Adjournment and Extending Order in the Matter of ASBCFinancial and Walter Turner
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 Second Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
March 15, 2019 - The Canadian Securities Administrators today published CSA Second Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Second Notice and Request for Comment
- Annex A - List of Commenters
- Annex B - Summary of Comments and Responses
- Annex C - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions
- Annex D - Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions
- Annex E - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Annex F - Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
- Annex G - Local Matters
The comment period ends May 14, 2019
For more information contact:
- Mikale White, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-3381
Fax: (306) 787-5899
Email: mikale.white@gov.sk.ca
Securities - Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms
March 14, 2019 - The Canadian Securities Administrators today published Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms
The comment period ends May 15, 2019.
For more information contact:
Dean Murrison, Director
Securities Division
Financial and Consumer Affairs Authority
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 Notice and Request for Comment Proposed National Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy
March 14, 2019 - The Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed National Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy
- CSA Notice and Request for Comment Proposed National Instrument 25-102
- Annex A - Proposed National Instrument 25-102
- Annex B - Proposed Companion Policy 25-102
- Annex C - Specific Questions of the CSA Relating to the Proposed Instrument
- Annex D - Local Matters
The comment period ends June 12, 2019
For more information contact:
- Mikale White, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
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 Notice of Amendments to National Instruments 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
March 13, 2019 - The Canadian Securities Administrators are publishing CSA Notice of Amendments to National Instruments 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
- CSA Notice of Amendments to National Instrument 31-103
- Annex A - Adoption of the Instrument
- Annex B - Amendments to NI 31-103
In effect June 12, 2019, subject to ministerial approval.
For more information 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 - Notice of First Appearance in the Matter of Aidan Trading, Catalyst CM Limited and Peter Jensen
March 13, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan issued Notice of First Appearance in the Matter of Aidan Trading, Catalyst CM Limited and Peter Jensen
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 - Joint CSA / IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market
March 12, 2019 - The Canadian Securities Administrators today published Joint CSA / IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market
For more information 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 ASBCFinancial and Walter Turner
March 11, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of ASBCFinancial and Walter Turner.
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 11-341 Withdrawal of Staff Notices
March 7, 2019 - The Canadian Securities Administrators today published CSA Staff Notice 11-341 Withdrawal of Staff Notices
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 Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca