June 2020

Securities Division

Suite 601, 1919 Saskatchewan Drive

Regina, Saskatchewan S4P 4H2

Tel: (306)787-5645

Fax: (306)787-5899

June 2020

Securities - In-person hearings continue to be on hold

June 30, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan (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 extend its decision to not hold in-person hearings pursuant to The Securities Act, 1988, until at least July 31, 2020.

Matters which were originally scheduled to be heard prior to July 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 once regular operations resume. In the event parties wish to proceed prior to July 31, 2020, that party may apply to the Hearing Panel for leave to proceed by way of an electronic or written hearing.

The Registrar will continue to receive Statements of Allegations, Motions or other filings by email at registrarfcaa@ gov.sk.ca in accordance with Saskatchewan Policy Statement 12-602, Procedure for Hearings and Reviews.

For further information, the Registrar can be contacted by email at registrarfcaa@gov.sk.ca or by phone at (306) 787-5646. The co-operation and understanding of all involved during this difficult and challenging time continues to be appreciated.

Securities - Statement of Allegations in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

June 26, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Statement of Allegations in the Matter of Vincent John Mullee and Vince Mullee Financial Inc.

Statement of Allegations - June 25, 2020

For more information contact:
Grace Hession David, Legal Counsel
Legal, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5843
Fax: 306.787.5899
Email: grace.hessiondavid@gov.sk.ca

Securities - CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

June 25, 2020 - The Canadian Securities Administrators published CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

CSA Consultation Paper

The comment period ends October 23, 2020.

For more information contact:
Liz Kutarna, Deputy Director
Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5871
Fax: 306.787.5899
Email: liz.kutarna@gov.sk.ca

Securities - Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems

June 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published the amended Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems and the List of Exchanges, Lead Regulators and Exempting Regulators in relation to the Memorandum of Understanding respecting the Oversight of Exchanges and Quotation and Trade Reporting Systems As of September 1, 2020.

Effective Date of Amendment: September 1, 2020.

For more information contact:
Sonne Udemgba, Deputy Director
Legal, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5879
Fax: 306.787.5899
Email: sonne.udemgba@gov.sk.ca

Securities - Decision in the Matter of ICE Bonds Securities Corporation

June 25, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Decision in the Matter of ICE Bonds Securities Corporation

Decision

Securities - The Securities Commission (Adoption of Local Instruments) (LI 11-501) Amendment Regulations, 2020

June 24, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of Local Instruments) (LI 11-501) Amendment Regulations, 2020

The Securities Commission (Adoption of Local Instruments) (LI 11-501) Amendment Regulations, 2020

Securities - The Securities Commission (Adoption of National Instruments) (NI 24-102) Amendment Regulations, 2020

June 24, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published The Securities Commission (Adoption of National Instruments) (NI 24-102) Amendment Regulations, 2020

The Securities Commission (Adoption of National Instruments) (NI 24-102) Amendment Regulations, 2020

Securities - Canadian securities regulators collaborate to protect investors and enforce securities law: CSA Fiscal Year 2019/20 Enforcement Report

June 23, 2020 - The Canadian Securities Administrators released its fiscal year 2019/20 Enforcement Report, which outlines how securities regulators are protecting investors and the integrity of Canada's capital markets

2019/20 Enforcement Report

Securities - CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and Changes to Companion Policy 21-101CP Marketplace Operation

June 18, 2020 - The Canadian Securities Administrators published CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and Changes to Companion Policy 21-101CP Marketplace Operation

Effective Date: Subject to Ministerial Approval - September 14, 2020.

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

June 10, 2020 - The Financial and Consumer Affairs Authority of Saskatchewan published Order in the Matter Jack Louis Comeau, Pinnacle Wealth Brokers Inc. and Grasswood Property Finance Ltd.

Order - June 9, 2020

Securities - CSA Staff Notice 43-311 Review of Mineral Resource Estimates in Technical Reports

June 4, 2020 - The Canadian Securities Administrators published CSA Staff Notice 43-311 Review of Mineral Resource Estimates in Technical Reports to provide guidance to mining reporting issuers

CSA Staff Notice 43-311

For more information contact:
Heather Kuchuran, Deputy Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.1009
Fax: 306.787.5899
Email: heather.kuchuran@gov.sk.ca

Securities - CSA Notice of Approval Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy

June 4, 2020 - The Canadian Securities Administrators published CSA Notice of Approval Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy

Effective Date: Subject to Ministerial Approval - August 31, 2020.

Securities - CSA Notice of Amendments to National Instrument 44-102 Shelf Distributions and Change to Companion Policy 44-102CP Shelf Distributions relating to At-the-Market Distributions

June 4, 2020 - The Canadian Securities Administrators published CSA Notice of Amendments to National Instrument 44-102 Shelf Distributions and Change to Companion Policy 44-102CP Shelf Distributions relating to At-the-Market Distributions