November 2023

November 2023

Securities – CSA Notice and Request for Comment respecting Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service: Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations

November 30, 2023 – The Financial and Consumer Affairs Authority of Saskatchewan is publishing the CSA Notice and Request for Comment for Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations. The amendments pertain to the requirements for registered firms concerning an Independent Dispute Resolution Service.

• CSA Notice and Request for Comment: Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 
  • Annex A – Proposed Rule Amendments to National Instrument 31-103
  • Annex B – Blackline showing Proposed Amendments to National Instrument 31-103
  • Annex C – Blackline Showing Proposed Changes to Companion Policy 31-103CP
  • Annex D – Overview and Flowchart of Identified Ombudservice Processes under Proposed Framework
  • Annex E – Local Matters 

Comment Period Ends: February 28, 2024.

For more information, contact:

Mobolanle Depo-Fajumo
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Securities Division 
400-2365 Albert Street
Regina, SK, S4P 4K1
Bus: 306- 798-3381
Fax: 306-787-5899
Email : mobolanle.depofajumo2@gov.sk.ca

 

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Securities – The Securities Commission (Adoption of National Instruments) (NI 14-101 and Consequential Amendments to Instruments) Amendment Regulations, 2023

November 28, 2023 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing The Securities Commission (Adoption of National Instruments) (NI 14-101 and Consequential Amendments to Instruments) Amendment Regulations, 2023.

• 110-2023 SR Filed 14-101 NI AR - 11-24-23.PDF

Effective Date: The Amendment Regulations came into force in all CSA jurisdictions on September 13, 2023. In Saskatchewan, the Amendment Regulations came into force on November 24, 2023.

For more information, contact:

Graham Purse
Financial and Consumer Affairs Authority
Legal Counsel, Securities Division
400-2365 Albert Street
Regina, SK, S4P 4K1
Bus: 306-787-5867
Fax: 306-787-5899
Email: graham.purse2@gov.sk.ca

 

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Securities – CSA/CIRO Staff Notice 23‐332 Summary of Comments and responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada 

October 19, 2023 – The Financial and Consumer Affairs Authority is publishing CSA/CIRO Staff Notice 23‐332 Summary of Comments and responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada.

• CSA/CIRO Staff Notice 23‐332 Summary of Comments and responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada 

For more information, contact: 

Liz Kutarna
Financial and Consumer Affairs Authority of Saskatchewan
Director, Capital Markets
Securities Division
4th Floor, 2365 Albert Street
Regina, SK S4P 4K1
Bus: 306-787-5871
Fax: 306-787-5899
Email: liz.kutarna@gov.sk.ca

 

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Securities - Settlement Agreement in the Matter of MK Futures and Maitlan Knoke

November 14, 2023 - The Financial and Consumer Affairs Authority of Saskatchewan is publishing a Settlement Agreement in the Matter of MK Futures and Maitlan Knoke.

• MK Futures - Settlement Agreement - May 2023

For more information contact:

Steve Robertson
Financial and Consumer Affairs Authority
Litigation Counsel, Securities Division
400-2365 Albert Street
Regina, SK, S4P 4K1
Bus: 306-787-5843
Fax: 306-787-5899
Email: steven.robertson@gov.sk.ca