September 2019

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

September 2019

Securities - Extending Order in the Matter of Next Trade Ltd. and Olympus Markets

September 27, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of Next Trade Ltd. and Olympus Markets

Extending Order - September 27, 2019

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 Order Approving Settlement in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

September 23, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Approving Settlement in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

Order - September 23, 2019

Securities - Notice of Teleconference Call in the Matter of Next Trade Ltd. and Olympus Markets

September 20, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference Call in the Matter of Next Trade Ltd. and Olympus Markets

Notice of Teleconference Call - September 20, 2019

Securities - FCAA Local Notice and Request for Comment - Proposed Amendments to Saskatchewan Local Instrument 11-501 Conflicts of Interest and Proposed Changes to Companion Policy 11-501CP to Saskatchewan Local Instrument 11-501 Conflicts of Interest

September 20, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published FCAA Local Notice and Request for Comment - Proposed Amendments to Saskatchewan Local Instrument 11-501 Conflicts of Interest and Proposed Changes to Companion Policy 11-501CP to Saskatchewan Local Instrument 11-501 Conflicts of Interest

The comment period ends November 19, 2019.

For more information contact:
        Mikale White, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan S4P 4H2
        Phone: (306) 798-3381
        Fax: (306) 787-5899
        Email: mikale.white@gov.sk.ca

Securities - Court of Appeal Decision in the Matter of Andrew Berger v Financial and Consumer Affairs Authority of Saskatchewan

September 16, 2019 - The Financial and Consumer Affairs Authority of Saskcatchewan published Court of Appeal Decision in the Matter of Andrew Berger v Financial and Consumer Affairs Authority of Saskatchewan

Decision - 2019 SKCA 89 - September 16, 2019

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

Securities - Temporary Order in the Matter of Next Trade Ltd. and Olympus Markets

September 13, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Temporary Order in the Matter of Next Trade Ltd. and Olympus Markets

Temporary Order - September 13, 2019

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

September 13, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of Teleconference in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott

Notice of Teleconference Call - September 12, 2019

Securities - Order Regarding Amending Statement of Allegations in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

September 12, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Regarding Amending Statement of Allegations in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

Order

Securities - Order Setting Hearing Dates in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

September 12, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Order Setting Hearing Dates in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

Order

Securities - CSA Notice and Request for Comment Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1

September 12, 2019 - The Canadian Securities Administrators published CSA Notice and Request for Comment Reducing Regulatory Burden for Investment Fund Issuers - Phase 2, Stage 1

The comment period ends December 11, 2019.

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

September 6, 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

Notice of Teleconference Call - September 6, 2019

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

September 6, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Adjournment Notice in the Matter of Vision Financial Markets LLC and Cliff Krause

Adjournment Notice - September 6, 2019

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

September 5, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published an Extending Order in the Matter of ASBCFinancial and Walter Turner

Extending Order - September 3, 2019

Securities - Notice of First Appearance in the Matter of ASBC Financial Planning Pty Ltd (a.k.a. ASBC Financial or ASBCFinancial) and Walter Turner

September 5, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Notice of First Appearance in the Matter of ASBC Financial Planning Pty Ltd (a.k.a. ASBC Financial or ASBCFinancial) and Walter Turner

Notice of First Appearance - September 3, 2019

Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements

September 5, 2019 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements

The comment period expires on December 4, 2019.

Securities - Decision in the Matter of Trade12, Global Fin Services Limited and Exo Capital Markets Limited

September 3, 2019 - The Financial and Consumer Affiars Authority of Saskatchewan published a Decision in the Matter of Trade12, Global Fin Services Limited and Exo Capital Markets Limited

Decision - September 3, 2019

Securities - General Order 43-501 Filing Fees for Shelf Prospectus Supplements including Pricing Supplements under National Instrument 44-102 Shelf Distributions

September 3, 2019 – Financial and Consumer Affairs Authority of Saskatchewan (FCAA) today published amended General Order 43-501 Filing Fees for Shelf Prospectus Supplements including Pricing Supplements under National Instrument 44-102 Shelf Distributions – Amendment Date: August 30, 2019

General Order 43-501

For more information contact:

Mikale White, Legal Counsel
Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Phone: (306) 798-3381
Fax: (306) 787-5899
Email: mikale.white@gov.sk.ca

Securities - Sanctions Order in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd., and Cryptguard Ltd.

September 3, 2019 - The Financial and Consumer Affairs Authority of Saskatchewan published a Sanctions Order in the Matter of Alena Marie Pastuch, Teamworx Productions Ltd., Idendego Inc., 101114386 Saskatchewan Ltd., 101115379 Saskatchewan Ltd., and Cryptguard Ltd.

Sanctions Order - August 30, 2019