November 2015
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 2015
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Securities – Trans Quebec & Maritimes Pipeline Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 30, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Trans Quebec & Maritimes Pipeline Inc. is no longer a reporting issuer.
Securities – The Securities Commission (Adoption of National Instruments, Aequitas NEO Exchange Inc.) Amendment Regulations, 2015
November 27, 2015 - The Securities Commission (Adoption of National Instruments, Aequitas NEO Exchange Inc.) Amendment Regulations, 2015 came into force on November 17, 2015 (in effect in Saskatchewan on November 27, 2015).
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 – Extending Order in the Matter of AAoption, Galaxy International Solutions Ltd. and David Eschel
November 26, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Extending Order in the Matter of AAoption, Galaxy International Solutions Ltd. and David Eschel.
For more information contact:
Dallas Smith, Legal Counsel
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 – Extending Order in the Matter of Ouroboros Derivatives Trading Ltd.
November 26, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of Ouroboros Derivatives Trading Ltd.
For more information contact:
Dallas Smith, Legal Counsel
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 – Troy Resources Limited Decision pursuant to section 92 of The Securities Act, 1988
November 20, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Troy Resources Limited is no longer a reporting issuer.
Securities – Notice and Request for Comment - Proposed Consequential Amendments to MI 11-102, NI 13-101 and MI 13-102
November 19, 2015 - Financial and Consumer Affairs Authority of Saskatchewan (FCAA), Securities Division is publishing a Notice and Request for Comment on the Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System, National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD.
On September 24, 2015 FCAA published the CSA Notice of Amendments Relating to Rights Offerings to National Instrument 45-106 Prospectus Exemptions, National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, and National Instrument 45-102 Resale of Securities and Repeal of National Instrument 45-101 Rights Offerings. In conjunction with these amendments and the repeal of National Instrument 45-101 Rights Offerings, there is a need for the consequential amendments to align the provisions of these Instruments with the repeal of National Instrument 45-101 Rights Offerings as the provisions of the Rights Offering Exemption have been moved to National Instrument 45-106 Prospectus and Registration Exemptions.
Comment period ends January 18, 2016.
- Notice and Request for Comment - Proposed Consequential Amendments to Multilateral Instrument 11-102 Passport System, National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) and Multilateral Instrument 13-102 System Fees for SEDAR and NRD
- Annex A - Proposed Amending Instrument for MI 11-102
- Annex B - Proposed Amending Instrument for NI 13-101
- Annex C - Proposed Amending Instrument for MI 13-102
- Local Matters
For more 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 – CSA Staff Notice 31-343 Conflicts of interest in distributing securities of related or connected issuers
November 19, 2015 - Staff of the Canadian Securities Administrators (We) are publishing CSA Staff Notice 31-343 Conflicts of interest in distributing securities of related or connected issuers.
We intend this notice to:
- set out our concerns with the conflicts of interest that arise from the captive dealer business model to help captive dealers decide how to respond to conflicts of interest by avoiding, or controlling and disclosing them
- suggest acceptable practices and unacceptable practices for addressing conflicts of interest
- outline what firms proposing to be captive dealers can expect when applying for registration
- outline what captive dealers can expect when CSA staff perform compliance reviews
For 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
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities – Salix Pharmaceuticals, Ltd. Decision pursuant to section 92 of The Securities Act, 1988
November 16, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Salix Pharmaceuticals, Ltd. is no longer a reporting issuer.
Securities – 9327-2615 Quebec Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 13, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that 9327-2615 Quebec Inc. is no longer a reporting issuer.
Securities – Greystone Managed Investments Inc. Decision pursuant to section 160 of The Securities Act, 1988
November 12, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA), as principal regulator, today issued a Decision pursuant to section 160 of The Securities Act, 1988 in the Matter of Greystone Managed Investments Inc.
Securities – Romarco Minerals Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 11, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Romarco Minerals Inc. is no longer a reporting issuer.
Securities – Manac Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 11, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Manac Inc. is no longer a reporting issuer.
Securities – Boulevard Industrial Real Estate Investment Trust Decision pursuant to section 92 of The Securities Act, 1988
November 9, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Boulevard Industrial Real Estate Investment Trust is no longer a reporting issuer.
Securities – Extending Order In the Matter of RTG Direct Trading Group Ltd. and RTG Direct Trading Limited
November 6, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extendig Order in the RTG Direct Trading Group Ltd. and RTG Direct Trading Limited
For more information contact:
Dallas Smith, Legal Counsel
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 – Extending Order In the Matter of Zulutoys Limited and RBOptions
November 6, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extendig Order in the Matter of Zulutoys Limited and RBOptions
For more information contact:
Dallas Smith, Legal Counsel
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 Setting Hearing Dates in the Matter of RTG Direct Trading Group Ltd and RTG Direct Trading Limited
November 6, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan today issued an Order Setting Hearing Dates in the Matter of RTG Direct Trading Group Ltd and RTG Direct Trading Limited.
Securities – Order Setting Hearing Dates in the Matter of Zulutoys Limited and RBOptions
November 6, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan today issued an Order Setting Hearing Dates in the Matter of Zulutoys Limited and RBOptions.
Securities – Notice of Publication and Request for Comment Proposed Multilateral Instrument 45-108 Crowdfunding and Companion Policy 45-108CP Crowdfunding and Consequential Amendments to National lnstrument 45-102 Resale of Securities
November 5, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) published proposed Multilateral Instrument 45-108 Crowdfunding (MI 45-108) and proposed Companion Policy 45-108CP Crowdfunding (45-108CP) for comment on March 20, 2014 and are now republishing MI 45-108 and 45-108CP for a 60-day comment period. In conjunction with the republication, FCAA is publishing for comment MI 45-108 related forms and consequential amendments to National Instrument 45-102 Resale of Securities.
Please refer to the Notice of Publication and Request for Comment for details.
Comment period ends January 4, 2016.
- Notice of Publication and Request for Comment Proposed Multilateral Instrument 45-108 Crowdfunding and Companion Policy 45-108 Crowdfunding Consequential Amendments to National Instrument 45-102 Resale of Securities
- Annex A1 - Proposed Multilateral Instrument 45-108 Crowdfunding
- Annex A2 - Proposed Form 45-108F1 Crowdfunding Offering Document
- Annex A3 - Proposed Form 45-108F2 Risk Acknowledgement
- Annex A4 - Proposed Form 45-108F3 Confimation of Investment Limits
- Annex A5 - Proposed Form 45-108F4 Notice of Specified Key Events
- Annex A6 - Proposed Form 45-108F5 Personal Information Form and Authorization to Collect, Use and Disclose Personal Information
- Annex A7 - Proposed Companion Policy 45-108CP Crowdfunding
- Annex B - Blackline showing changes to Multilateral Instrument 45-108 Crowdfunding published for comment March 20, 2014
- Annex C - Blackline showing changes to Companion Policy 45-108CP Crowdfunding published for comment March 20, 2014
- Annex D - Proposed Consequential Amendments to National Instrument 45-102 Resale of Securities
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
Phone: (306) 787-5871
Fax: (306) 787-5899
Email: liz.kutarna@gov.sk.ca
Securities – SilverCrest Mines Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 3, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that SilverCrest Mines Inc. is no longer a reporting issuer.
Securities – Webtech Wireless Inc. Decision pursuant to section 92 of The Securities Act, 1988
November 3, 2015 - Decision pursuant to section 92 of The Securities Act, 1988 that Webtech Wireless Inc. is no longer a reporting issuer.
Securities – Notice of First Appearance and Statement of Allegations in the Matter of Zulutoys Limited and RBOptions
November 3, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a Notice of First Appearance and Statement of Allegations in the Matter of Zulutoys Limited and RBOptions.
Securities – Notice of First Appearance and Statement of Allegations in the Matter of RTG Direct Trading Group Ltd and RTG Direct Trading Limited
November 3, 2015 - The Financial and Consumer Affairs Authority of Saskatchewan today issued a Notice of First Appearance and Statement of Allegations in the Matter of RTG Direct Trading Group Ltd and RTG Direct Trading Limited.
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca