October 2019

October 2019

Securities - Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin

October 30, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin.

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        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 SHEC Energy Corporation, James Thomas Beck, and Terrence Michael Stott

October 21, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Setting Hearing Dates in the Matter of SHEC Energy Corporation, James Thomas Beck, and Terrence Michael Stott

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Notice of Teleconference Call in the Matter of Vision Financial Markets LLC and Cliff Krause

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of Vision Financial Markets LLC and Cliff Krause

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Amended Statement of Allegations in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Amended Statement of Allegations in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        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 ASBCFinancial and Walter Turner

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        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 ASBC Financial a.k.a. ASBCFinancial and Walter Turner

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Setting Hearing Dates in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        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 in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

October 18, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order in the Matter of ASBC Financial a.k.a. ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Notice of First Appearance in the Matter of Gaetan Daniel Blouin

October 11, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of First Appearance in the Matter of Gaetan Daniel Blouin

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        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 United Financial Commodity Group, United FCG, UFCG Limited and UFCG Ltd.

October 11, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of United Financial Commodity Group, United FCG, UFCG Limited and UFCG Ltd.

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Notice of Teleconference Call in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

October 8, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

October 3, 2019 - The Canadian Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight

The comment period ends January 2, 2020.

For more information contact:
        Heather Kuchuran, Acting Deputy Director, Corporate Finance
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-1009
        Fax:  (306) 787-5899
        Email: heather.kuchuran@gov.sk.ca

 


 

Securities - CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

October 3, 2019 - The Canadian Securities Administrators today published CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

In effect December 31, 2019, subject to ministerial approval and with a phased in transition period.

For more information please 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  

 


 

Securities - Extending Order in the Matter of ASBCFinancial and Walter Turner

October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Notice of Adjournment in the Matter of ASBCFinancial and Walter Turner

October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Adjournment in the Matter of ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - Notice of Teleconference Call in the Matter of ASBCFinancial and Walter Turner

October 2, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of ASBCFinancial and Walter Turner

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@gov.sk.ca

 


 

Securities - CSA Multilateral Staff Notice Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

October 2, 2019The Canadian Securities Administrators today published CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions

For more information contact:
        Heather Kuchuran, Acting Deputy Director, Corporate Finance
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-1009
        Fax:  (306) 787-5899
        Email: heather.kuchuran@gov.sk.ca

 


 

Securities - Extending Order in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

October 1, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

For more information contact:
        Dallas Smith, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 787-5843
        Fax: (306) 787-5899
        Email: dallas.smith@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

Agree Term