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Tuesday, September 19, 2017
Financial and Consumer Affairs Authority

September 15, 2017 - The Canadian Securities Administrators (CSA) today released the Oversight Review Report on the performance of the Mutual Fund Dealers Association of Canada (MFDA).

September 14, 2017 - The Canadian Securities Administrators, other than the British Columbia Securities Commission, are adopting amendments to National Instrument 81-102 Investment Funds and consequential amendment to National Instrument 81-104 Commodity Pools.

September 12, 2017 - Cease Trade Order pursuant to subsection 134.1(2) of The Securities Act, 1988 that all trading in securities of Moon Lake Golf and Country Club Ltd. (the Issuer) cease until the Issuer files the Required Records.

September 8, 2017 - Today the FCAA is publishing Canadian Securities Administrators CSA Staff Notice 46-307 Cryptocurrency Offerings. Publication was delayed in Saskatchewan due to a Bi-Election.

August 25, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan Decision in the Matter of Jack Louis Comeau.

August 16, 2017 - The Securities Commission (Adoption of National Instruments) (NI 24-101) Amendment Regulations, 2017 comes into force in Saskatchewan on September 5, 2017.

August 16, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Sanctions Order In the Matter of Adele Kaminsky, carrying on business as AK Financial Planning Services.

August 3, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment.

August 3, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 94-302 Delivery of Forms Required under National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Position.

August 1, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved an amendment to General Order 11-914 Recogniction of the Canadian Public Accountability Board. 

July 27, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017.

July 27, 2017 - The Canadian Securities Administrators have approved amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, and Companion Policy 33-109CP Registration Information.

July 20, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Decision In the Matter of Adele Kaminsky, carrying on business as AK Financial Planning Services.

July 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order Setting Hearing Dates In the Matter of Imperial Options et al.

July 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Imperial Options and Global Transactions LP.

July 19, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of Global Capital Ltd.

July 17, 2017 - Decision pursuant to section 92 of The Securities Act, 1988 that International Road Dynamics Inc. ceases to be a reporting issuer.

July 13, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions.

July 13, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration.

July 13, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved an amendment to Saskatchewan Policy Statement 12-602 Proceedure for Hearings and Reviews.

July 6, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 94-301 Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing.

July 6, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules.

July 6, 2017 - Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Relating to Designated Rating Organizations.

July 4, 2017 - The Canadian Securities Administrators today released the Oversight Review Report that details the objectives, methodology, frame of reference, report format, scope, overall assessment, and findings of the review for the period from April 1, 2015 to July 31, 2016.

July 4, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order In the Matter of Global Capital Ltd.

June 30, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued General Order 94-501 Exempting certain counterparties from mandatory clearing, 2017.

June 30, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued General Order 81-501 Exemption from Prescribed Text of Mutual Fund Audit Reports.

June 29, 2017 - Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-102 Resale of Securities – Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities.

June 27, 2017 - The Securities Commission (Adoption of National Instruments) (NI 94-102) Amendment Regulations, 2017 comes into force in Saskatchewan on July 3, 2017.

June 22, 2017 - On April 6, 2017 the Canadian Securities Administrators published Consultation Paper 51-404 Consideration for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers for a 90-day comment period, expiring July 7, 2017. Today, as per CSA Staff Notice 51-350, the comment period has been extended to July 28, 2017.

June 20, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Sanctions Order in the Matter of Gregory Todd Whiteside and Megan Whiteside.

June 15, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott.

June 15, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period.

June 14, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Capital Force Ltd.

June 14, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of FMTrader.

June 8, 2017 - The Canadian Securities Administrators are publishing CSA Multilateral Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution.

June 8, 2017 - Today the Canadian Securities Administrators are publishing CSA Multilateral Staff Notice 81-328 Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of National Instrument 81-102 Investment Funds.

June 2, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of FMTrader.

June 2, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of Capital Force Ltd.

June 1, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has approved an amendment to General Order 96-508 Exemption from Certain Requirements to publicly disseminate data under Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting.

May 31, 2017 - Staff Notice 45-703 Monitoring the Use of the Exemptions Under National Instrument 45-106 Prospectus Exemptions.

May 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan is warning investors about an entity named Loyalty Insurance Group.

May 18, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations.

May 11, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order In the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Stott.

May 11, 2017 - Today the Canadian Securities Administrators are publishing CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients.

April 27, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Decision in the matter of Gregory Todd Whiteside and Megan Whiteside.

April 27, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order In the Matter of Melnic Group Ltd. and BossCapital.com.

April 27, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Extending Order in the Matter of Mpower Technologies Limited and CFD Corporate.

April 27, 2017 - The Canadian Securities Administrators, other than the British Columbia Securities Commission, are publishing CSA Notice and Request for Comment - Adoption of a T+2 Settlement Cycle for Conventional Mutual Funds - Proposed Amendments to National Instrument 81-102 Investment Funds.

April 27, 2017 - The Canadian Securities Administrators are adopting amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and changes to Companion Policy 24-101 Institutional Trade Matching and Settlement.

April 26, 2017 - The securities regulators in all Canadian jurisdictions other than British Columbia are publishing CSA Notice and Request for Comment - Proposed National Instrument 91-102 Prohibition of Binary Options and Related Proposed Companion Policy.

April 25, 2017 - The Canadian Securities Administrators are publishing CSA Consultation Paper 52-403 Auditor Oversight Issues in Foreign Jurisdictions.

April 21, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued an Order Setting Hearing Dates In the Matter of Ronald James Aitkens et al.

April 21, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) has issued two Cease Trade Orders against Mpower Technologies Limited and Melnic Group Ltd.

April 20, 2017 Today the Canadian Securities Administrators are publishing CSA Staff Notice 45-323 Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions.

April 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Decision in the Matter of SHEC Energy Corporation, James Thomas Beck and Terrence Michael Scott.

April 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order In the Matter of Melnic Group Ltd. and BossCapital.com.

April 18, 2017 - The Financial and Consumer Affairs Authority of Saskatchewan has issued a Temporary Order in the Matter of Mpower Technologies Limited and CFD Corporate.

April 13, 2017 Today the Canadian Securities Administrators are publishing CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions.



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