March 2020

March 2020

 

Securities - Motion for Leave to Call Witnesses in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 31, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Motion for Leave to Call Witnesses in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Motion for Leave to Call Witnesses - March 31, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca  

 

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Securities - Notice of Teleconference Call in the Matter of HB Global Enterprise and MetaProTrader Inc.

March 31, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the Matter of HB Global Enterprise and MetaProTrader Inc.

• Notice of Teleconference Call - March 30, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - General Order 24-501 In the Matter of Relief from Certain Reporting Requirements under National Instrument 24-101 Institutional Trade Matching and Settlement

March 26, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan today published General Order 24-501 In the Matter of Relief from Certain Reporting Requirements under National Instrument 24-101 Institutional Trade Matching and Settlement.

• General Order 24-501

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
        Tel: 306.787.5871
        Fax: 306.787.5899
        Email: liz.kutarna@gov.sk.ca 

 

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Securities - CSA Multilateral Notice 24-317 Notice of Relief from Certain Filing Provisions under National Instrument 24-101 Institutional Trade Matching and Settlement

March 26, 2020 - The Canadian Securities Administrator published CSA Multilateral Notice 24-317 Notice of Relief from Certain Filing Provisions under National Instrument 24-101

• CSA Multilateral Notice 24-317

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
        Tel: 306.787.5871
        Fax: 306.787.5899
        Email: liz.kutarna@gov.sk.ca 

 

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Securities - Temporary Order in the Matter of HB Global Enterprise and MetalProTrader Inc.

March 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Temporary Order in the Matter of HB Global Enterprise and MetalProTrader Inc.

• Temporary Order - March 25, 2020

For more information contact:
        Nathanial D. Day, Legal Counsel
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Tel: 306.787.5867
        Fax: 306.787.5899
        Email: nathaniald.day@gov.sk.ca   

 

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Securities - The Securities Commission (Local Instruments) (LI 25-501) Amendment Regulations, 2020

March 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Local Instruments) (LI 25-501) Amendment Regulations, 2020

• The Securities Commission (Local Instruments) (LI 25-501) Amendment Regulations, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca  

 

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Securities - Extending Order in the Matter of Next Trade Ltd. and Olympus Markets

March 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Extending Order in the Matter of Next Trade Ltd. and Olympus Markets

• Extending Order - March 25, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Adjournment in the Matter of Next Trade Ltd. (also known as Olympus Markets)

March 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Adjournment in the Matter of Next Trade Ltd. (also known as Olympus Markets)

• Adjournment - March 25, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - FCAA Blanket Release Orders from Market Participants due to COVID-19

March 23, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan today published temporary blanket relief for market participants from certain regulatory filings, as a result of COVID-19

• General Order 25-502 Temporary Exemption from Certain Reporting Requirements for Regulated Entities
• General Order 31-501 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants
• General Oder 51-501 Temporary Exemption from Certain Corporate Finance Requirements
• General Order 81-502 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds
   

For more information about GO 51-501 and GO 81-502 contact:

Heather Kuchuran, Acting Deputy Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.1009
Fax: 306.787.5899
Email: heather.kuchuran@gov.sk.ca

For information about GO 25-502 and GO 31-501 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
Tel: 306.787.5871
Fax: 306.787.5899
Email: liz.kutarna@gov.sk.ca

 

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Securities - Merit Decision in the Matter of OptionRally and TCM Investments Ltd.

March 20, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Merit Decision in the Matter of OptionRally and TCM Investments Ltd.

• Merit Decision - March 16, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca

 

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Securities - CSA Notice Amendments to National Instrument 24-102 Clearing Agency Requirements and Changes to Companion Policy 24-102 Clearing Agency Requirements

March 19, 2020 - The Canadian Securities Administrators published CSA Notice Amendments to National Instrument 24-102 Clearing Agency Requirements and Changes to Companion Policy 24-102 Clearing Agency Requirements

• CSA Notice
• Annex A - List of Commenters
• Annex B - Summary of Comments on Proposed Amendments to National Instrument 24-102 and related Companion Policy 24-102CP and CSA responses
• Annex C - Amendments to National Instrument 24-102 Clearing Agency Requirements
• Annex D - Changes to Companion Policy 24-102CP Clearing Agency Requirements
• Annex E - Blacklined Amendments to National Instrument 24-102 Clearing Agency Requirements
• Annex F - Blacklined Changes to Companion Policy 24-102CP to National Instrument 24-102 Clearing Agency Requirements

Subject to ministerial approval - June 19, 2020.

For more information please 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
        Tel:  306.787.5871
        Fax: 306.787.5899
        Email: liz.kutarna@gov.sk.ca  

 

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Securities – Adjournment in the Matter of Gaetan Daniel Blouin

March 18, 2020 – The Financial and Consumer Affairs Authority of Saskatchewan published Adjournment in the Matter of Gaetan Daniel Blouin

• Adjournment – March 17, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities – Notice of Teleconference Call in the matter of Vincent John Mullee and Vince Mullee Financial Inc.

March 17, 2020 – The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the matter of Vincent John Mullee and Vince Mullee Financial Inc.

• Notice of Teleconference Call – March 17, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca

 

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Securities - Adjournment in the matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 17, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Adjournment in the matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Adjournment - March 17, 2020  

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca

 

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Securities - Notice of Teleconference Call in the matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 16, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Notice of Teleconference Call - March 16, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca

 

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Securities - Notice of Teleconference Call in the matter of UFCG Ltd. (also known as United Financial Commodity Group and United FCG)

March 13, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the matter of UFCG Ltd. (also known as United Financial Commodity Group and United FCG)

• Notice of Teleconference Call - March 12, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Sanctions and Costs Order in the matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

March 13, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Sanctions and Costs Order in the matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

• Sanctions and Costs Order - March 12, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Notice of Teleconference Call in the Matter of Next Trade Ltd. and Olympus Markets

March 13, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the Matter of Next Trade Ltd. and Olympus Markets

• Notice of Teleconference Call - March 10, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Decision of the Hearing Panel Concerning Staff's Motion for Adjournment of the Hearing on the Merits in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 12, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Decision of the Hearing Panel Concerning Staff's Motion for Adjournment of the Hearing on the Merits in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Decision of the Hearing Panel - March 12, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Statement of Allegations in the Matter of Next Trade Ltd. (also known as Olympus Markets)

March 9, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Statement of Allegations in the Matter of Next Trade Ltd. (also known as Olympus Markets)

• Statement of Allegations - February 27, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

March 5, 2020 - The Canadian Securities Administrators published CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

• CSA Staff Notice 43-310 - March 5, 2020

For more information contact:
        Heather Kuchuran, Acting Deputy Director 
        Corporate Finance, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.1009
        Fax: 306.787.5899
        Email: heather.kuchuran@gov.sk.ca  

 

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Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

March 5, 2020 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to National Instrument 31-103 
• Annex B - Blackline Showing Changes to National Instruments 31-103
• Annex C - Proposed Changes to Companion Policy 31-103CP
• Annex D - Local Matters

The comment period ends June 3, 2020. The CSA has extended the comment period to July 20, 2020.

For more information contact:
        Curtis Brezinski, Compliance Auditor
        Capital Markets, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Tel: 306.787.5876
        Fax: 306.787.5899
        Email: curtis.brezinski@gov.sk.ca 

 

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Securities - CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities

March 5, 2020 - The Canadian Securities Administrators published CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities

• CSA Staff Notice 21-328 - March 5, 2020

For more information contact:
        Nathanial D. Day, Legal Counsel
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Tel: 306.787.5867
        Fax: 306.787.5899
        Email: nathaniald.day@gov.sk.ca 

 

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Securities - Notice of Date (Re: Notice of Motion for Leave to File a Witness List) in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 4, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Date (Re: Notice of Motion for Leave to File a Witness List) in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Notice of Date - March 4, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Order Approving Settlement in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 3, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Order Approving Settlement in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Order - March 3, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca 

 

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Securities - Adjournment Notice in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

March 3, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Adjournment Notice in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

• Adjournment Notice - March 2, 2020

For more information contact:
        Sonne Udemgba, Deputy Director
        Legal, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Tel:  306.787.5879
        Fax: 306.787.5899
        Email: sonne.udemgba@gov.sk.ca