November 2013
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
November 2013
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Securities – Investment Planning Counsel Inc. Notice pursuant to section 11.9 of NI 31-103
November 29, 2013 - Financial and Consumer Affairs Authority of Saskatchewan (FCAA) approval letter regarding Notice pursuant to section 11.9 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) of proposed acquisition by Investment Planning Counsel Inc. of all of the issued and outstanding shares of Independent Planning Group Inc.; and the proposed acquisition of all of the issued and outstanding shares of Brigata Capital Management Inc. by IPC Portfolio Services Inc., a direct subsidiary of Investment Planning Counsel Inc.
Securities – Statement of Allegations of Staff in the Matter of Kevin Kelly Krause
November 28, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan Statement of Allegations of Staff in the Matter of Kevin Kelly Krause.
For more information contact:
Pat Murray, Registrar
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5646
Fax: (306) 787-9006
Email: pat.murray@gov.sk.ca
Securities – Statement of Allegations of Staff in the Matter of Paradigm Portfolio Management Corporation et al
November 28, 2013 - Statement of Allegations of Staff of The Financial and Consumer Affairs Authority of Saskatchewan in the Matter of Paradigm Portfolio Management Corporation, Kyle Kozuska, Jerome Meckelborg, also known as Jerry Meckelborg, and Mark Meckelborg.
Pat Murray, Registrar
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5646
Fax: (306) 787-9006
Email: pat.murray@gov.sk.ca
Securities – TriOil Resources Ltd. Decision pursuant to section 92 of The Securities Act, 1988
November 28, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that TriOil Resources Ltd. is no longer a reporting issuer.
Securities – Multilateral CSA Notice and Request for Comment - Proposed Multilateral Instrument 45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions
November 28, 2013 - All of the members of the Canadian Securities Administrators, other than the securities regulatory authorities in Ontario and British Columbia are publishing for a 90-day comment period proposed Multilateral Instrument 45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions.
Proposed MI 45-107 proposes exemptions from certain requirements of the securities legislation of the participating jurisdictions that apply in the context of prospectus exempt financings, conducted by issuers and by investment dealers or international dealers acting as underwriters, offered to institutional and other sophisticated investors in Canada. Comment period ends February 26, 2014
- Multilateral CSA Notice and Request for Comment - Proposed Multilateral Instrument 45-107 Listing Representation and Statutory Rights of Action Disclosure Exemptions
- Appendix A - Proposed Multilateral Instrument 45-107 Listing Representation
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 – CSA Notice and Request for Comment - Proposed Amendments to National Instrument 33-105 UNDERWRITING CONFLICTS
November 28, 2013 - The Canadian Securities Administrators are publishing for a 90-day comment period proposed amendments to National Instrument 33-105 Underwriting Conflicts.
The proposed amendments to NI 33-105 (the Proposed Amendments) will provide limited relief from the requirement to include connected and related issuer disclosure in an offering document used to distribute securities under a prospectus exemption in the context of foreign private placements offered to sophisticated investors in Canada. Comment period ends: February 26, 2014.
- Notice and Request for Comment - Proposed Amendments to National Instrument 33-105
- Appendix A - Proposed National Instrument 33-105
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
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities – Extending Order in the Matter of Ocean InternationaL Ltd et al
November 27, 2013 - The Financial and Consumer Affairs Authority has issued an Extending Order in the Matter of Ocean International Ltd, Wealth Capital Corp, Manhattan Capital Corp, James Lee, Jamie Lyons, Jamie Marsh and Roger White.
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 – Churchill VI Debenture Corp. Decision pursuant to section 92 of The Securities Act, 1988
November 25, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Churchill VI Debenture Corp. is no longer a reporting issuer.
Securities – General Donlee Canada Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 22, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that General Donlee Cananda Inc. is no longer a reporting issuer.
Securities – CSA Staff Notice 13-321 Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments of CSA National System Rules
November 21, 2013 – CSA Staff Notice 13-321 Update on new service provider for the operation of the CSA National Systems and implementation of Related Consequential Amendments of CSA National System Rules. This notice provides an update on the transition of the operation of SEDAR, SEDI and NRD from CDS INC. to CGI Information Systems and Management Consultants Inc. and the implementation of related amendments.
- National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) (NI 13-101),
- National Instrument 31-102 National Registration Database (NI 31-102), and
- National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI) (NI 55-102),
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) 787-5899
Email: tony.herdzik@gov.sk.ca
Securities – Multilateral CSA Notice 45-312 Proposed Prospectus Exemption for Distributions to Existing Security Holders
November 21, 2013 – The securities regulatory authorities in British Columbia, Alberta, Saskatchewan, Manitoba, Québec, New Brunswick, Nova Scotia, Prince Edward Island, Yukon, Northwest Territories and Nunavut are publishing for comment a substantially harmonized proposed prospectus exemption that would, subject to certain conditions, allow issuers listed on the TSX Venture Exchange to raise money by distributing securities to their existing security holders.
This notice summarizes the terms of the proposed exemption and includes a request for comment. The comment period ends January 20, 2014.
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) 787-5899
Email: tony.herdzik@gov.sk.ca
Securities – CHR Investment Corporation Decision pursuant to section 92 of The Securities Act, 1988
November 21, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that CHR Investment Corporation is no longer a reporting issuer.
Securities – Decision of the Court of Appeal for Saskatchewan in the Matter of Alena Marie Pastuch et al
November 15, 2013 – Decision of the Court of Appeal for Saskatchewan in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd. and Cryptguard Ltd.
For more information, please contact:
Sonne Udemgba, Deputy Director, Legal
Securities Division
Saskatchewan Financial Services Commission
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5879
Fax: (306) 787-5899
Email: sonne.udemgba@gov.sk.ca
Securities – Canadian Auto Receivables Asset Trust III Decision pursuant to section 92 of The Securities Act 1988
November 12, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Canadian Auto Receivables Asset Trust III is no longer a reporting issuer.
Securities – Tamarack Acquisition Corp. Decision pursuant to section 92 of The Securities Act 1988
November 12, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Tamarack Acquisition Corp. is no longer a reporting issuer.
Securities – Canada Mortgage Acceptance Corporation Decision pursuant to section 92 of The Securities Act, 1988
November 7, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Canada Mortgage Acceptance Corporation is no longer a reporting issuer.
Securities – First National AlarmCap Income Fund Decision pursuant to section 92 of The Securities Act 1988
November 7, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that First National AlarmCap Income Fund is no longer a reporting issuer.
Securities – CML HealthCare Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 6, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that CML HealthCare Inc. is no longer a reporting issuer.
Securities – Jovian Capital Corporation Decision pursuant to section 92 of The Securities Act, 1988
November 5, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Jovian Capital Corporation is no longer a reporting issuer.
Securities – Rainy River Resources Ltd. Decision pursuant to section 92 of The Securities Act, 1988
November 5, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Rainy River Resources Ltd. is no longer a reporting issuer.
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca