October 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

October 2013

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Securities – FCAA Discharge of Statement of Allegations as against Spruce Ridge Capital Inc.

November 4, 2013- FCAA Discharge of Statement of Allegations as against Spruce Ridge Capital Inc. in the Matter of Ronald James Aitkens, also known as Ron Aitkens, Legacy Communities Inc., Spruce Ridge Capital Inc., Spruce Ridge Estates Inc., Railside Capital Inc., Railside Industrial Park Inc., 1252064 Alberta Ltd., 1330075 Alberta Ltd., Harvest Capital Management Inc. and Harvest Group GP Corporation.

Discharge of Statement of Allegations - November 4, 2013

For more information contact:

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 – Macquarie Private Wealth Inc. Notice pursuant to section 11.9 of NI 31-103

October 30, 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 of the issued and outstanding shares of Macquarie Private Wealth Inc.

Approval Letter - October 30, 2013

Securities – Sun-Rype Products Ltd. Decision pursuant to section 92 of The Securities Act, 1988

October 29, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Sun-Rype Products Ltd. is no longer a reporting issuer.

Decision - October 29, 2013

Securities – Mineral Deposits Limited Decision pursuant to section 92 of The Securities Act, 1988

October 29, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Mineral Deposits Limited is no longer a reporting issuer.

Decision - October 29, 2013

Securities – Notice of Application by Spruce Ridge Capital Inc. for Discharge of Statement of Allegations as Against Spruce Ridge Capital Inc.

October 23, 2013- Securities – Notice of Application by Spruce Ridge Capital Inc. for Discharge of Statement of Allegations as Against Spruce Ridge Capital Inc. in the Matter of Ronald James Aitkens, also known as Ron Aitkens, Legacy Communities Inc., Spruce Ridge Capital Inc., Spruce Ridge Estates Inc., Railside Capital Inc., Railside Industrial Park Inc., 1252064 Alberta Ltd., 1330075 Alberta Ltd., Harvest Capital Management Inc. and Harvest Group GP Corporation.

Notice of Application for Discharge of Statement of Allegations - October 23, 2013

For more information contact:

Securities – Barclays Capital Inc. et al Decision pursuant to section 158 of The Securities Act, 1988

October 22, 2013 - Decision pursuant to subsection 158 of The Securities Act, 1988 (the Act) In the Matter of Barclays Capital Inc., Barclays Capital Canada Inc., Citigroup Global Markets Inc., Citigroup Global Markets Canada Inc., Deutsche Bank Securities Inc., Deutsche Bank Securities Limited, HSBC Securities (USA) Inc., HSBC Securities (Canada) Inc., J.P. Morgan Securities LLC, J.P. Morgan Securities Canada Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Merrill Lynch Canada Inc., RBC Capital Markets, LLC, RBC Dominion Securities Inc., Scotia Capital (USA) Inc., Scotia Capital Inc., UBS Securities LLC and UBS Securities Canada Inc. This decision amends the Decision pursuant to section 160 of the Act dated April 23, 2013.

Decision - October 22, 2013

Securities – Barclays Capital Inc. et al Decision pursuant to section 158 of The Securities Act, 1988

Decision - October 22, 2013

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

October 21, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) has issued a decision in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd., and Cryptguard Ltd.

Decision - October 21, 2013

For more information 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 – Order in the Matter of I.W.F. Incorporated also known as I.W.F. Inc. et al

October 21, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan has issed an Order in the Matter of I.W.F. Incorporated also known as I.W.F. Inc., Keystone Explorations, Global Capital and Asset Management and Jack Shore.

Order - October 21, 2013

For more information contact:

Securities – Castle Silver Mines Inc. Decision pursuant to section 92 of The Securities Act, 1988

October 18, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Castle Silver Mines Inc. is no longer a reporting issuer.

Decision - October 18, 2013

Securities – CSA Notice and Request for Comment on Proposed Repeal and Replacement of NI 52-108, and Proposed Amendments to NI 41-101, NI 51-102 and NI 71-102

October 17, 2013 – CSA Notice and Request for Comment on Proposed Repeal and Replacement of National Instrument 52-108 Auditor Oversight and Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 51-102 Continuous Disclosure Obligations and National Instrument 71-102 Continuous Disclosure and other Exemptions Relating to Foreign Issuers. The Comment Period ends January 15, 2014.

The Canadian Securities Administrators (CSA) are publishing for a 90-day comment period the proposed materials:

National Instrument 52-108 Auditor Oversight,
Companion Policy 52-108CP Auditor Oversight, and proposed amendments to
National Instrument 41-101 General Prospectus Requirements,
National Instrument 51-102 Continuous Disclosure Obligations,
Companion Policy 51-102CP Continuous Disclosure Obligations,
National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers, and
Companion Policy 71-102CP Continuous Disclosure and Other Exemptions Relating to Foreign Issuers

For more information please contact:

Heather Kuchuran, CA, Senior Securities Analyst
Corporate Finance Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-5849
Fax: (306) 787-1009
Email: heather.kuchuran@gov.sk.ca

Securities – CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities and Proposed Changes to Companion Policy 51-101CP Standards of Disclosure for Oil and Gas Activities

October 17, 2013 - The Canadian Securities Administrators today published proposed amendments to National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities (NI 51-101) and Proposed Changes to Companion Policy 51-101CP Standards of Disclosure for Oil and Gas Activities(51-101CP). Comment period ends January 17, 2014.

The Proposed Amendments constitute an important evolutionary shift in NI 51-101 that will promote better disclosure of resources other than reserves and associated metrics while at the same time providing for increased flexibility for oil and gas reporting issuers that report in a variety of different locations worldwide, recover different oil and gas product types and operate under different regulatory regimes.

For more information please contact:

Tony Herdzik, Deputy Director
Corporate Finance 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 – Holland Global Capital Corporation Decision pursuant to section 92 of The Securities Act, 1988

October 15, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Holland Global Capital Corporation is no longer a reporting issuer.

Decision - October 15, 2013

Securities – Esperanza Resources Corp. Decision pursuant to section 92 of The Securities Act, 1988

October 15, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Esperanza Resources Corp. is no longer a reporting issuer.

Decision - October 15, 2013

Securities − The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) New General Ruling/Order 31-923 Transitional Relief from Complying with Consequential Amendments to NI 13-101, NI 31-102 and NI 55-102

October 11, 2013 − This General Ruling/Order exempts certain persons and companies from some reqirements in National Instrument 13-101 System for Electronic Document Analysis and Retrieval, National Instrument 31-102 National Registration Database and National Instrument 55-102 System for Electronic Disclosure by Insiders for the period from October 12, 2013 to December 2, 2013.

General Ruling/Order 31-923

For more information 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 – Order in the Matter of Hunter's Run CP, LLLP et al

October 9, 2013 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order in the Matter of Hunter's Run CP, LLLP, Henry Whitfield Bert Stuckless and Marco-Abel Nordio.

Order - October 9, 2013

Securities – CSA Staff Notice 13-320 Regarding Implementation of MI 13-102 and Related Consquential Amendments to CSA National Systems Rules

October 8, 2013 - This notice provides an update on the transition of the operation of SEDAR, SEDI and NRD (the CSA National Systems) from CDS INC. to CGI Information Systems and Management Consultants Inc. (CGI) and the implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD (MI 13-102) and related amendments to:

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 contact:

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

October 7, 2013 - Decision pursuant to section 92 of The Securities Act, 1988 that Medicago Inc. is no longer a reporting issuer.

Decision - October 7, 2013

Securities - FCAA Asks for Comments Regarding the Proposed Saskatchewan Equity Crowdfunding Exemption

We ask for your input about the General Order 42-925 Saskatchewan Equity Crowdfunding Exemption and its associated documents from October 7, 2013 to November 6, 2013.

Maintaining an open dialogue with all stakeholders and the public is important to our goal of promoting strong investor protection while fostering confidence in Saskatchewan’s capital markets.

Thank you in advance for your comments.

How to Respond

You can mail or email comments as Word documents or PDFs to:

Financial and Consumer Affairs Authority

Securities Division - Saskatchewan Equity Crowdfunding Exemption

Suite 601 - 1919 Saskatchewan Drive

Regina SK S4P 1C2

About the Saskatchewan Equity Crowdfunding Exemption

You may have heard of crowdfunding as a way for small businesses or creative projects to raise funds online from the public. Traditional crowdfunding usually raises money through donations or the pre-selling of products.

Equity crowdfunding is slightly different in that instead of giving a donation or pre-purchasing a product, individuals are investing in a company, product, or service. Businesses sell securities like shares, limited partnership units and promissory notes – investors buy a stake in a small business or start-up.

The current rules for selling securities like shares, limited partnership units and promissory notes are believed to be expensive, complicated and time consuming for small businesses or start-ups.

We believe the Saskatchewan Equity Crowdfunding Exemption will help small businesses and start-ups raise money, while still protecting investors by, among other things, limiting the amount of money individual investors can lose. FCAA also believes this is a unique opportunity for people who are new to investing to gain some experience.

The exemption is designed to allow a business to raise a defined amount of money in an efficient and cost effective way. The exemption will also limit the amount individuals can invest in the offering, which should limit the potential loss to individual investors if the offering is not successful.

Highlights

Businesses will be able to make two, six-month offerings of $150,000 each during a year.
The business cannot be a reporting issuer or an investment fund and cannot offer derivative type securities.
Businesses must give FCAA notice of their intention to issue an offering 10 business days before posting online.
The business cannot charge investors a commission or other amounts.
Both the business and the investor must be located in Saskatchewan
The business must report their sales to FCAA within 30 days of the offering’s close.
No person may invest more than $1,500 in an offering.
There are no fees payable to the FCAA for the offering.

The following documents are published for comment:

General Order 45-925 Saskatchewan Equity Crowdfunding Exemption
Issuer Information Form GO45-925F1
Individual Information Form GO45-925F2
Offering Document GO45-925F3
Report of Trades Form GO45-925F4
Portal Information Form GO 45-925F5
Portal Individual Information Form GO45-925F6

A guide for issuers, investors and portals will be published for comment shortly.

Securities – Canadian Securities Regulators Adopt Amendments for Investment Funds Transitioning to IFRS

October 3, 2013 - The Canadian Securities Administrators (CSA) have completed the final step in the transition to International Financial Reporting Standards (IFRS) for investment funds and published today final amendments to National Instrument 81-106 Investment Fund Continuous Disclosure, its Companion Policy and related amendments. Investment funds must apply the changes for financial years beginning on or after January 1, 2014.

The final amendments published today reflect comments received on the 2009 proposal, additional stakeholder consultations and further IASB developments related to investment funds. The changes impact investment fund requirements relating to the presentation of financial statements and terminology to reflect the transition to IFRS.

Canadian Securities Regulators Adopt Amendments for Investment Funds Transitioning to IFRS
Appendix A - Summary of Changes to the 2009 Proposal
Appendix B - Summary of Public Comments on Proposed Amendments to NI 81-106
Appendix C - Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure (Effective date - January 1, 2014)
Appendix D - Amendments to Companion Policy 81-106CP to National Instrument 81-106 Investment Fund Continuous Disclosure (Effective date - January 1, 2014)
Appendix E - Amendments to National Instrument 41-101 General Prospectus Requirements (Effective date - January 1, 2014)
Appendix F - Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure (Effective date - January 1, 2014)
Appendix G - Amendments to Companion Policy 81-101CP to National Instrument 81-101 Mutual Fund Prospectus Disclosure (Effective date - January 1, 2014)
Appendix H - Amendments to National Instrument 81-102 Mutual Funds (Effective date - January 1, 2014)
Appendix I - Amendments to National Instrument 81-104 Commodity Pools (Effective date - January 1, 2014)

For more information contact:

Heather Kuchuran, Senior Securities Analyst
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 787-1009
Fax: (306) 787-5899
Email: heather.kuchuran@gov.sk.ca

Securities – The Securities Commission (Adoption of National Instruments) Amendment Regulations, 2013 (No. 8) come into force

October 2, 2013 - The Securities Commission (Adoption of National Instruments) Amendment Regulations, 2013 (No. 8) came into force on October 12, 2013. The regulation adopts National Instrument 13-102 System Fees for SEDAR and NRD and amends National Instrument 13-101 System for Electronic Analysis and Retrieval, National Instrument 31-102 National Registration Databas and National Instrument 55-102 System for Electronic Disclosure by Insiders.

Commission Regulation 2013 No. 8

For more information contact:

Securities – Memorandum of Understanding and Joint Rule Review Protocol

Provides for the oversight of the Mutual Fund Dealers Association of Canada by recognizing regulators.

Memorandum of Understanding and Joint Rule Review Protocol

For more information contact:

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

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

Email: fcaa@gov.sk.ca