Saskatchewan Securities Enforcement Proceedings Framework
Summary
The Financial and Consumer Affairs Authority of Saskatchewan (FCAA) published a hub page describing its securities enforcement process under The Securities Act, 1988. The page explains that FCAA initiates proceedings when a notice of hearing is issued and a hearing panel finds securities laws were contravened, with available sanctions including financial penalties and bans on trading in capital markets. The page provides contact information for the Securities Division in Regina, SK and includes an alphabetical filter for locating enforcement documents by respondent.
“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.”
About this source
GovPing monitors FCAA Saskatchewan Investor Alerts for new securities & markets regulatory changes. Every update since tracking began is archived, classified, and available as free RSS or email alerts — 3 changes logged to date.
What changed
The page describes the FCAA's enforcement framework for Saskatchewan securities law violations. Under The Securities Act, 1988, FCAA may issue a notice of hearing when it suspects contravention or conduct contrary to the public interest. A hearing panel of FCAA members hears the matter and, if violations are found, may impose sanctions including financial penalties and market trading bans. The page also notes that all hearings are currently held virtually as of May 13, 2024, with in-person options available upon request.
Affected parties include individuals and companies operating in or affecting Saskatchewan's capital markets. Those subject to securities regulation in the province should be aware that FCAA has broad authority to initiate enforcement proceedings and impose significant sanctions including permanent or temporary bans on market participation.
Archived snapshot
Apr 23, 2026GovPing captured this document from the original source. If the source has since changed or been removed, this is the text as it existed at that time.
Home > Regulated Businesses > Securities Industry Participants > Enforcement Proceedings
Enforcement Proceedings
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
Enforcement Proceedings Filter 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 -Â In-person hearings can be held upon request
May 13, 2024Â - The Financial and Consumer Affairs Authority ("FCAA") will hold all hearings pursuant to The Securities Act 1998, virtually. If an in-person hearing is preferred, counsel and/or self-represented litigants may make arrangements with the Registrar to schedule such matters.
The Registrar will continue to receive Statements of Allegations, Motions or other filings in electronic or paper form as contemplated in sub-section 1.4.3 of Saskatchewan Local Policy Statement 12-602 - Procedure on Hearings and Reviews Before the Commission.
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 is appreciated.
Guidelines for Hearings during a Pandemic
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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Source document text, dates, docket IDs, and authority are extracted directly from FCAA Saskatchewan.
The summary, classification, recommended actions, deadlines, and penalty information are AI-generated from the original text and may contain errors. Always verify against the source document.
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