October 2012

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

Email: fcaa@gov.sk.ca

October 2012

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Securities – Merrill Lynch Canada Inc. Decision pursuant to section 160 of The Securities Act, 1988

October 31, 2012 - NP 11-203 – Process for Exemptive Relief Applications in Multiple Jurisdictions – Hybrid Application – Merrill Lynch Canada Inc. granted relief from the trade confirmation and statement of account requirements in securities laws where acting solely as execution-only broker in the context of “give-up” trades – Relief granted with respect to give-up trades for institutional customers, provided that a give-up trade agreement is executed with institutional customer and clearing broker and that clearing broker agrees to provide the customers with statements which include give-up trade details.

Decision - October 31, 2012

Securities – Pure Energy Services Ltd. Decision pursuant to section 92 of The Securities Act, 1988

October 30, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 that Pure Energy Services Ltd. is no longer a reporting issuer.

Decision - October 30, 2012

Securities – TMX Group Inc. Decision pursuant to section 92 of The Securities Act, 1988

October 26, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 that TMX Group Inc. is no longer a reporting issuer.

Decision - October 26, 2012

Securities – CSA Notice and Request for Comments on Proposed Consequential Amendments Related to National Instrument 25-101 Designated Rating Organizations

October 26, 2012 - The Financial and Consumer Affairs Authority is publishing CSA Notice and Request for Comments on Proposed Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rule Related to National Instrument 25-101 Designated Rating Organizations. Other members of the Canadian Securities Administrators (CSA) have recently published the proposed amendments for comment. The comment period ends December 31, 2012.

For more information, please contact:

Dean Murrison, Director
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5842
Fax: (306) 787-5899
Email: dean.murrison@gov.sk.ca

Securities – Canadian Securities Administrators (CSA) Consultation Paper 33-403 The Standard of Conduct for Advisors and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients

October 25, 2012 - today the Canadian Securities Administrators (CSA) published Consultation Paper 33-403 (the Consultation Paper). The purpose of this Consultation Paper is to provide a forum for stakeholder consultation of the desirability and feasibility of introducing a statutory best interest duty to address potential investor protection concerns regarding the current standard of conduct that advisers and dealers in Canada owe to their clients. While this Consultation Paper describes a possible statutory best interest standard for purposes of consultation, no decision has been made whether a statutory best interest standard should be adopted (and on what terms), whether another policy solution would be more effective or whether the current Canadian standard of conduct framework is adequate. No such decisions will be made without broad public consultation and discussion. This Consultation Paper is the initial step in soliciting comments from all interested stakeholders on these important issues. Comment period ends February 22, 2013.

Consultation Paper 33-403

For more information, please contact:

Sonne Udemgba, Acting 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 Securities Regulators (CSA) Proposed Amendments to National Instrument 23-103 Electronic Trading

October 25, 2012 - Today the Canadian Securities Administrators (CSA or we) are introducing proposed amendments (Proposed Amendments) to National Instrument 23-103 Electronic Trading(NI 23-103) and its related Companion Policy 23-103CP (CP) that would, in part, impose requirements on participant dealers that provide direct electronic access (DEA). The Proposed Amendments are being published for a 90-day public comment period. Comment period ends January 23, 2013.

For more information, please contact:

Securities – RBC Subordinated Notes Trust Decision pursuant to section 92 of The Securities Act, 1988

October 23, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 that RBC Subordinated Notes Trust is no longer a reporting issuer.

Decision - October 23, 2012

Securities – 20-20 Technologies Inc. Decision pursuant to section 92 of The Securities Act, 1988

October 22, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 that 20-20 Technologies Inc. is no longer a reporting issuer.

Decision - October 22, 2012

Securities – Notice of Hearing in the Matter of Alena Marie Pastuch et al

October 23, 2012 – today the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) issued a Notice of Hearing in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd. and Cryptguard Ltd. (the Respondents). The hearing is scheduled to commence 9:30 a.m. on Friday November 16, 2012 at the FCAA hearing room, Suite 601-1919 Saskatchewan Drive, Regina Saskatchewan to hear the Preliminary Motion(s) raised by the Respondents Subject to any Rulings or Orders arising out of the November 16, 2012 hearing into the preliminary issues, the Formal Hearing shall commence on December 3, 2012 and continue on December 4, 5, 10, 11 and 12, 2012, and further continuing thereafter on dates to be determined, until ordered otherwise.

Notice of Hearing - October 23, 2012

For more information, please contact:

Securities – Order of the Court of Appeal for Saskatchewan in the Matter of Tri-Link Consultants Inc. and Klaus Link

October 23, 2012 – today the Court of Appeal for Saskatchewan issued an order respecting costs in the Matter of Tri-Link Consultants Inc. and Klaus Link.

Order of the Court of Appeal for Saskatchewan - October 23, 2012

For more information, please contact:

Sonne Udemgba, Acting 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 – Compton Petroleum Corporation Decision pursuant to section 92 of The Securities Act, 1988

October 18, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 Compton Petroleum Corporation is no longer a reporting issuer.

Decision - October 18, 2012

Securities – Caldwell Global Financial Services Fund and Caldwell Meisels Canada Fund Decision pursuant to section 92 of The Securities Act, 1988

October 15, 2012 - Decision pursuant to section 92 of The Securities Act, 1988 that Caldwell Global Financial Services Fund and Caldwell Meisels Canada Fund are no longer reporting issuers.

Decision - October 15, 2012

Securities − Order in the Matter of Shire International Real Estate Investments Ltd. et al

October 10, 2012 − The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) today issued an order in the Matter of Jeanette Cleone Couch, Shire International Real Estate Investments Ltd., Shire Asset Management Ltd., Hawaii Fund and Bearspaw at 144th Avenue Ltd.

Order - October 10, 2012

For more information, contact:

Securities – Judgment of the Supreme Court of Canada in the Matter of Tri-Link Consultants Inc. and Klaus Link

October 4, 2012 – today the Supreme Court of Canada dismissed with costs, the application for leave to appeal from the judgment of the Court of Appeal for Saskatchewan dated April 4, 2012, in the Matter of Tri-Link Consultants Inc. and Klaus Link (Applicants) and the Saskatchewan Financial Services Commission (Respondent).

Judgement of the Supreme Court of Canada - October 4, 2012

For more information, please contact:

Securities – Macquarie Capital Markets Canada Ltd. Decision pursuant to section 160 of The Securities Act, 1988

October 3, 2012 - Decision pursuant to section 160 of The Securities Act, 1988 in the Matter of Macquarie Capital Markets Canada Ltd.

Decision - October 3, 2012

Securities – Statement by Canadian authorities on clearing of standardized OTC derivatives contracts

October 1, 2012 - Statement by Canadian authorities on clearing of standardized OTC derivatives contracts

Toronto – In response to the economic and financial crisis, G-20 leaders initiated a reform of the over-the-counter (OTC) derivatives market in 2009 to improve transparency, mitigate systemic risk, and protect against market abuse.

Since December 2009, the Bank of Canada, the Canadian Securities Administrators (CSA), the Office of the Superintendent of Financial Institutions (OSFI), and the Canadian Department of Finance have coordinated efforts to implement reform of Canada’s OTC derivatives markets in line with the G-20 commitments, including the commitment to clear standardized OTC derivatives.

Canadian authorities are committed to clearing standardized OTC derivative contracts, subject to appropriate exemptions, through central counterparties (CCPs). Canadian market participants can respect this commitment by clearing OTC derivatives using any CCP recognized by Canadian authorities, including global CCPs.

Canadian authorities judge that global CCPs will provide a safe, robust and resilient environment for clearing OTC derivatives, provided that they comply with the Principles for Financial Market Infrastructure published by CPSS-IOSCO and that the following four safeguards identified by the Financial Stability Board (FSB) are met:

Fair and open access by market participants to CCPs,

Cooperative oversight arrangements for CCPs between relevant authorities,
Resolution and recovery regimes that aim to ensure the core functions of CCPs are maintained during times of crisis, and
Appropriate emergency liquidity arrangements for CCPs in currencies in which they clear.

Canadian authorities are satisfied with the direction and pace of the international efforts on the four safeguards, including with regard to implementation at global CCPs serving the Canadian market.

Canadian authorities will continue to work with authorities in other jurisdictions towards the achievement of the four safeguards at global CCPs and will monitor the evolution of the market for clearing services.

The CSA, the council of the securities regulators of Canada’s provinces and territories, coordinates and harmonizes regulation for the Canadian capital markets.

For more information:

Carolyn Shaw-Rimmington
Ontario Securities Commission
416-593-2361

Sylvain Théberge
Autorité des marchés financiers
514-940-2176

Richard Gilhooley
British Columbia Securities Commission
604-899-6713

Mark Dickey
Alberta Securities Commission
403-297-4481

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

Email: fcaa@gov.sk.ca