September 2020
Securities Division
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
September 2020
Securities - Order Setting Hearing Dates in the Matter of Gaetan Daniel Blouin
September 30, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Order Setting Hearing Dates in the Matter of Gaetan Daniel Blouin.
For more information, contact:
Grace Hession David
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5843
Fax: 306-787-5899
Email: grace.hessiondavid@gov.sk.ca
Securities - Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin
September 24, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Teleconference Call in the Matter of Gaetan Daniel Blouin.
For more information, contact:
Grace Hession David
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5843
Fax: 306-787-5899
Email: grace.hessiondavid@gov.sk.ca
Securities - Notice of Virtual Hearing in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.
September 23, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Notice of Virtual Hearing in the Matter of Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.
For more information, contact:
Nathanial D. Day
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: nathaniald.day@gov.sk.ca
Securities - Decision of the Hearing Panel Concerning Staff's Application for an Order to Allow Portions of Mr. Comeau's May 10, 2018 Interview Transcript as Evidence and for Clarification of When Staff are Deemed to have Closed Their Case
September 18, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Decision of the Hearing Panel Concerning Staff's Application for an Order to Allow Portions of Mr. Comeau's May 10, 2018 Interview Transcript as Evidence and for Clarification of When Staff are Deemed to have Closed Their Case.
For more information, contact:
Nathanial D. Day
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: nathaniald.day@gov.sk.ca
Securities - CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management for Investment Funds
September 18, 2020 - The Canadian Securities Administrators are publishing CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management for Investment Funds.
For more information, contact:
Heather Kuchuran, CPA, CA, CFA
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
Securities - CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption
September 17, 2020 - The Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption.
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption
- Annex A - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions
- Annex B - Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions
- Annex C - Blackline Main body of NI 45-106 reflecting the Proposed Amendments, compared by way of blackline to that material as currently in-force
- Annex D - Blackline Form 45-106F2 reflecting the Proposed Amendments, compared by way of blackline to that material as currently in-force
- Annex E - Local Matters
The comment period ends December 16, 2020.
For more information, contact:
Heather Kuchuran, CPA, CA, CFA
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
Securities - CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required
September 17, 2020 – The Canadian Securities Administrators are publishing CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required.
- CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required
- Annex A - Summary of Comments on the Proposed Amendments and Responses
- Annex B - Amendments to National Instrument 81-105 Mutual Fund Sales Practices
- Annex C - Changes to Companion Policy 81-105CP Mutual Fund Sales Practices
- Annex D - Amendments to National Instrument 41-101 General Prospectus Requirements
- Annex E - Amendments to National instrument 81-101 Mutual Fund Prospectus Disclosure
- Annex F - Local Matters
For more information, contact:
Heather Kuchuran, CPA, CA, CFA,
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
Securities - CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
September 3, 2020 - The Canadian Securities Administrators are publishing CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives.
- CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
- Annex A - Proposed Amendments to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
- Annex B - Blackline of National Instrument 94-101Mandatory Central Counterparty Clearing of Derivatives showing the proposed amendments
- Annex C - Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
- Annex D - Blackline of Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives showing the proposed changes
- Annex E - Summary of Comments and CSA Responses and List of Commenters
- Annex F - Local Matters
The comment period ends December 2, 2020.
For more information, contact:
Nathanial D. Day
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: nathaniald.day@gov.sk.ca
Securities - Order Setting Hearing Dates in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews
September 2, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Order Setting Hearing Dates in the Matter of Fluid FX, Paul Anderson, Alan P. Howard and John Andrews.
For more information, contact:
Grace Hession David
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5843
Fax: 306-787-5899
Email: grace.hessiondavid@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