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Saturday, June 24, 2017
Financial and Consumer Affairs Authority

Under section 134 of the Act, staff of the Commission can initiate proceedings against individuals and companies (respondents) suspected of contravening Saskatchewan securities laws or acting contrary to the public interest. 

A proceeding is started when a notice of hearing is issued and the matter is heard by a panel of Commission members.  If the hearing panel finds that the respondents contravened securities laws or acted contrary to the public interest it can impose sanctions such as financial penalties, bans on trading and other activities in the capital markets.

This section contains documents relating to open and completed proceedings.

Click here for information about proceedings currently before the Commission.



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