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 are suspected of contravening Saskatchewan securities laws or acting contrary to the public interest. Once a proceeding is commenced by the Securities Division of the FCAA, a hearing panel will be appointed. After a hearing, if the hearing panel finds that Saskatchewan 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, among other things.

The filter above contains links to enforcement proceedings before hearing panels listed by respondent. The respondent is the individual or company that is the subject of a proceeding. Documents for each respondent are listed according to the date the document was signed.

Securities Hearings Policy

• The Securities Hearings Policy, which applies to proceedings before hearing panels under The Securities Act, 1988, can be found on this page. Securities Hearings Policy.
• For further information about proceedings before hearing panels under The Securities Act, 1988, contact the Registrar at registrarfcaa@gov.sk.ca or (306) 787-2957.

• Find out about proceedings currently before the FCAA on this page. Current Proceedings.

• View the list of persons and entities with unpaid administrative penalties and costs owed to FCAA on this page. Unpaid Penalties and Cost List.