November 2016

November 2016

 

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Securities – CSA Multilateral Staff Notice 91-305 (Revised)

November 25, 2016 - Staff of the securities regulatory authorities (each an Authority and collectively the Authorities or we) in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon (the Participating Jurisdictions) are publishing staff views, in the form of Frequently Asked Questions, on certain matters relating to:

• Multilateral Instrument 91-101 Derivatives: Product Determination (the Product Determination Rule),
• Companion Policy 91-101 Derivatives: Product Determination (the Product Determination CP),
• Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting (the Trade Reporting Rule), and
• Companion Policy 96-101 Trade Repositories and Derivatives Data Reporting (the Trade Reporting CP).
• CSA Multilateral Staff Notice 91-305 (Revised)

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

 

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Securities – General Order 96-507 Exemption from Certain Derivatives Reporting Requirements under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting for Certain Financially Settled Electricity Based Derivatives

November 30, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan has approved General Order 96-507 Exemption from Certain Derivatives Reporting Requirements under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting for Certain Financially Settled Electricity Based Derivatives.

• General Order 96-507

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  

 

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Securities – Canadian Securities Regulators Release MFDA Oversight Review Report

November 18, 2016 - The Canadian Securities Administrators today released the Oversight Review Report that details the objectives, methodology, frame of reference, report format, scope, overall assessment, and findings of the oversight review of the Mutual Fund Dealers Association of Canada that was completed in November 2015 by the participating Recognizing Regulators for the review period from July 1, 2012 to July 31, 2015.  Staff from the ASC, BCSC, FCAA, FCNB, MSC, NSSC, and OSC conducted the review jointly.

• MFDA Oversight Review Report

For more information contact:

Curtis Brezinski, Compliance Auditor,Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone:  (306) 787-5876
Fax:  (306) 787-5899
Email: Curtis.Brezinski@gov.sk.ca  

 

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Securities – CSA Staff Notice 31-347 Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members

November 17, 2016 - This Notice provides information and guidance to registered portfolio managers that enter into service arrangements with dealer members of the Investment Industry Regulatory Organization of Canada.

• CSA Staff Notice 31-347

For more information, please contact:

Curtis Brezinski, Compliance Auditor, Capital Markets
Securities Division
Financial and Consumer Affairs Authority
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone:  (306) 787-5876
Fax:  (306) 787-5899
Email: curtis.brezinski@gov.sk.ca

 

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Securities – The Securities Commission (Adoption of National Instruments, MI 96-101) Amendment Regulations, 2016

November 9, 2016 - The Securities Commission (Adoption of National Instruments, MI 96-101) Amendment Regulations, 2016 came into force on November 9, 2016.

• Commission Amendment Regulation

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

 

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Securities – Order in the Matter of Ouroboros Derivatives Trading Ltd.

November 7, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan today issued an Order in the Matter of Ouroboros Derivatives Trading Ltd.

• Order - November 7, 2016

 

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Securities – Adjournment Notice in the Matter of SHEC Energy Corporation, et al

November 4, 2016 - The Financial and Consumer Affairs Authority of Saskatchewan issued an Adjournment Notice in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott.

• Adjournment Notice - November 4, 2016