Enforcement Proceedings

Enforcement ProceedingsFilter By: 0-9 A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Under The Securities Act, 1988, the Financial and Consumer Affairs Authority of Saskatchewan (FCAA) can initiate proceedings against individuals and companies that it suspects 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 hearing panel of FCAA members. If the hearing panel finds that securities laws were contravened, or that a party acted contrary to the public interest, it can impose sanctions such as financial penalties or bans on trading in capital markets.

The filter above contains documents which are listed by respondent, according to the date the document was signed. The respondent is the individual or company that is the subject of a proceedings. The documents relate to enforcement proceedings, such as enforcement orders, notices of hearing, decisions, and settlements on completed matters and current proceedings. 


Securities - In-person hearings continue to be on hold

August 4, 2020 - The Financial and Consumer Affairs Authority (FCAA) continues to take all necessary precautions to protect the health and safety of its employees and the public as we respond to challenges due to COVID-19. We continue to monitor information available concerning the public health risks posed by COVID-19. In order to protect our employees and the public, the FCAA has decided to not hold in-person hearings pursuant to The Securities Act, 1988, until otherwise published. 

Matters which were originally scheduled to be heard by way of an in-person hearing prior to August 31, 2020, and that have not yet been adjourned sine die, are hereby adjourned sine die. Counsel and/or self-represented litigants may make arrangements with the Registrar to reschedule such matters for an in-person hearing once regular operations resume or, in the event a party wishes to proceed with a matter sooner, that party may apply to the Hearing Panel for leave to proceed by way of an alternative method, including a virtual hearing.  

Guidelines for Hearings during a Pandemic


Current Proceedings

Find out about proceedings currently before the Financial and Consumer Affairs Authority of Saskatchewan.


Unpaid Penalties and Cost List

View the list of persons and entities with unpaid administrative penalties and costs owed to FCAA.

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