Exemptive Relief Orders 2017 - 2020


Maple Group Acquisition Corporation

July 17, 2012

Applicable Legislative Provisions

Form 41-101F1 Information Required in a Prospectus, Items 8, 32 and 35.

National Instrument 51-102 Continuous Disclosure Obligations, s. 9.1.

Form 51-102F5 Information Circular, Item 14.2.

Form 62-504F1 Take-over Bid Circular, Item 19.


Fiera Investments LP et al.

June 17, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(a), 5.5(1)(b), 19.1.

I.G. Investment Management, Ltd.

August 5, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds — ss. 2.1(1), 2.2(1), 2.5(2)(a), 2.5(2)(a.1), 2.5(2)(b), 2.5(2)(c), 2.5(2)(f) and 19.1.

Arrow Capital Management Inc. et al.

May 29, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.6.1(1)(c)(v), 2.6.2, 6.1(1), 6.1, 6.8.1, 19.1.

Guardian Capital LP and Guardian Strategic Income Fund

May 21, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a.1), 15.8(3)(a.1), 15.1.1, 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, ss. 2.1, 6.1.
  • Form 81-101F1 Contents of Simplified Prospectus, Item 9.1(b) of Part B.
  • Form 81-101F3 Contents of Fund Facts Document, Item 5 of Part I.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1), 4.3(2) of Part B and Items 3(1), 4 of Part C.

NCM Asset Management Ltd.

May 14, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Mutual Funds, ss. 2.6(1)(a), 19.1, Parts 9, 10, 14.

NCM Asset Management Ltd.

May 14, 2020

Applicable Legislative Provisions:

  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2), 5.9, 19.1.
  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2, s. 6.1.
  • Securities Act (Ontario), R.S.O. 1990, c. S.5, as am., ss. 59(1), 147.
  • National Instrument 81-102 Investment Funds, Parts 9, 10, 14, ss. 2.6(a), 19.1.

Lysander Funds Limited

April 24, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.6, 2.6.1(1)(c), 2.6.1(2), (3), 2.7(1), (2), (3), 2.8, 2.11, 6.1(1), 7.1, 9.3(1), 10.3(1), 10.4(1), 19.1.
  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a.1), 15.8(3)(a.1), 19.1.
  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 2.1.
    Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.

Priviti Capital Corporation

April 24, 2020

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(b)(ii)-(iii), 15.1.
  • National Instrument 81-105 Investment Funds, ss. 4.2(1), 4.3(1), 19.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Lysander Funds Limited and Lysander-Canso Credit Opportunities Fund

April 24, 2020

Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1.
  • Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B of Form 81-106F1 and Items 3(1) and 4 of Part C of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.

I.G. Investment Management, Ltd.

April 15, 2020

Applicable Legislative Provisions:

  • Securities Act (Ontario), RSO 1990, c S.5, as am., ss. 62, 62(5).
  • National Instrument 81-106, Investment Fund Continuous Disclosure, ss. 2.2, 4.2, 5.1(2), 5.2(5), 5.3(3), 5.4, 9.3, 17.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 4.4, 6.2, 7.1.
  • Order No. 7515

Counsel Portfolio Services Inc. and Mackenzie Financial Corporation

April 15, 2020

Applicable Legislative Provisions:

  • Securities Act (Ontario), RSO 1990, c S.5, as am., ss. 62, 62(5).
  • National Instrument 81-106, Investment Fund Continuous Disclosure, ss. 2.2, 4.2, 5.1(2), 5.2(5), 5.3(3), 5.4, 9.3, 17.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 4.4, 6.2, 7.1.

NCM Asset Management Ltd. et al.

April 3, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.6(1), 5.7(1)(b).


Fidelity Prime Financing LLC

March 31, 2020

Applicable Legislative Provisions

Statutes Cited
Securities Act, R.S.O. 1990, c. S.5, as am., ss. 1(1), 19, 19(1), 19(2), 25(1), 74(1).
Instruments Cited
Multilateral Instrument 11-102 Passport System, ss. 4.7, 4.7(1).
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.5, 8.18, 8.18(2), 8.21, Form 31-103F1 Calculation of Excess Working Capital.
National Instrument 81-102 Investment Funds, Part 6.
Ontario Securities Commission Rule 13-502 Fees.


National Financial Services LLC

March 31, 2020

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 1(1), 19, 19(1), 19(2), 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, ss. 4.7, 4.7(1).
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.5, 8.18, 8.18(2), 8.21, Form 31-103F1 Calculation of Excess Working Capital.
  • National Instrument 81-102 Investment Funds, Part 6.
  • Ontario Securities Commission Rule 13-502 Fees.

CI Investments Inc.

March 20, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), 2.5(2)(a.1), 2.5(2)(b) and 2.5(2)(c), and 19.1.

CI Investments Inc.

March 10, 2020

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1) and 19.1.

CI Investments Inc.

March 10, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, subsection 2.1(1) and section 19.1.

Ultra Petroleum Corp.

March 6, 2020

Applicable Legislative Provisions:

  • National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities, s. 8.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, s. 3.1.
  • National Instrument 62-103 The Early Warning System and Related Take-Over Big and Insider Reporting Issues, s. 11.1.

CI Investments Inc.

February 28, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), 2.5(2)(a.1), 2.5(2)(b), 2.5(2)(c), and 19.1.

Horizons ETFs Management (Canada) Inc.

February 25, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds — ss. 2.2(1)(a), 2.5(2)(a), 2.5(2)(a.1), 2.5(2)(c) and 19.1.

Guardian Capital LP

February 14, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), and 19.1.

Venator Capital Management Ltd. and Venator Income Fund

February 7, 2020

Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1.
  • Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B and Items 3(1) and 4 of Part C of Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance.

BlackRock Asset Management Canada Limited

February 5, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), 2.5(2)(b) and 2.5(2)(c), and 19.1.

I.G. Investment Management, Ltd.

January 24, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), and 19.1.

AGF Investments Inc.

January 13, 2020

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss.15.3(4)(c), (f), and 19.1.

CI Investments Inc.

December 19, 2019

Applicable Legislative Provisions: 

  • National Instrument 41-101 General Prospectus Requirements, s. 19.1.
  • National Instrument 81-102 — Investment Funds, s. 19.1.

CI Investments

December 19, 2019

Applicable Legislative Provisions: 

  • Securities Act (Ontario), R.S.O. 1990, c. S. 5, as am., ss. 59(1) and 147.
  • National Instrument 41-101 General Prospectus Requirements, s. 19.1
  • National Instrument 81-102 — Investment Funds, Parts 9, 10 and 14 and s. 19.1.

McElvaine Investment Management Ltd. and The McElvaine Investment Trust

December 19, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.6(1)(a)(i), 15.6(1)(d) and 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s.2.1.
  • Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4 and 17.1.
  • Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance and Items 3(1) and 4 of Part C of Form 81-106F1.

Vertex One Asset Management Inc. et al.

December 13, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, paragraphs 5.5(1)(a) and 5.5(1)(b) and subsection 19.1(2).

Lincluden Investment Management Limited

December 10, 2019

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5 and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2) and 19.2.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1(2) and 6.1(4).

RP Investment Advisors LP

December 9, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 2.6.1(1)(c)(v), 2.6.2, 6.1(1), and 19.1.


AGF Investments Inc.

December 9, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 2.6.1(1)(c)(v), 2.6.2 (1), and 19.1(2).


Guardian Capital LP

November 18, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 6.1, 6.8.1, and 19.1.


CI Investments Inc. et al.

October 24, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b) and 19.1(2).

Purpose Investments Inc. et al.

September 30, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(a), 5.5(1)(b), 19.1.


CI Investments et al.

September 24, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 6.1, 6.8.1, and 19.1.


Pimco Canada Corp

September 20, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 2.1(1), 19.1.


1832 Asset Management L.P.

September 19, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds — ss. 2.6.1, 2.6.2 and 19.1.


Ninepoint Partners LP

September 18, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds — ss. 2.6.1(1)(c)(v), 2.6.2, 6.1, 6.8.1, and 19.1.


RBC Global Asset Management Inc.

September 17, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds — ss. 2.6.1(1)(c)(v), 2.6.2(1) and 19.1(2).


TD Asset Management Inc. et al.

August 16, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b) and 19.1(2).

Canoe Financial LP et al.

August 6, 2019

Applicable Legislative Provisions

National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4 and 17.1.


Canoe Financial LP et al.

August 6, 2019

Applicable Legislative Provisions

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1.
  • National Instrument 81-102 Investment Funds, ss. 3.1, 15.3(2), 15.6(1)(a)(i)(A), 15.6(1)(b), 15.6(1)(d)(i), 15.8(2)(a) and 15.8(3)(a), 15.9(2), 15.1.1 and 19.1.

Gestion FÉRIQUE

July 15, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss.15.3(4)(c) and (f), and 19.1.
(Translation)


Picton Mahoney Asset Management

June 24, 2019

Applicable Legislative Provisions

National Instrument 81-102 – Investment Funds, ss. 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, and 19.1.


CI Investments Inc.

June 6, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds – ss. 2.6.1(1)(c)(v), 2.6.2 and 19.1.


AGF Investments Inc.

May 13, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b), 19.1(2).

Manulife Asset Management Limited

May 9, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5 and 15.1.
National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).


Ninepoint Partners LP et al.

May 3, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b), 19.1(2).

Cargojet Inc.

May 1, 2019

Applicable Legislative Provisions:

National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2, ss. 5.2, 5.4 and 6.1.
National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, ss. 4.1, 4., 11.1.
National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.


Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund (previously named “The Pembroke Corporate Bond Fund”)

May 1, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.6(1)(a)(i), 15.6(1)(d), 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s. 2.1.
  • Form 81-101F3 Contents of Fund Facts Document, Item 5 of Part I.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Items 3.1(7), 4.1.(1), 4.1(2), 4.2(1), 4.3(1), and 4.3(2) of Part B, and Items 3(1) and 4 of Part C.


Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund

May 1, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.6(1)(a)(i), 15.6(1)(d) and 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s. 2.1.
  • Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4 and 17.1.
  • Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B of Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance and Items 3(1) and 4 of Part C of Form 81-106F1.

TD Asset Management Inc.

April 18, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 4.2(1) and 19.2.
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5 and 15.1.
National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).


Arrow Capital Management Inc.

April 2, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, s.15.3(4)(c) and (f), and 19.1.


AGF Investments Inc. et al.

April 2, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b), 19.1(2).

Picton Mahoney Asset Management

March 25, 2019

Applicable Legislative Provisions

National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5, 15.1.
National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1(2), 6.1(4).


Knowledge First Financial Inc.

March 21, 2019

Applicable Legislative Provisions

National Instrument 81-106 Investment Fund Continuous Disclosure, s.12.2(2)(a).


IA Clarington Investments Inc. et al.

March 15, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, sections 5.5(1)(b), 5.6, 5.7(1)(b) and 19.1.
[Translation]


NCM Asset Management Ltd.

March 13, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), and 19.1. 


BMO Investments Inc. et al.

March 6, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.


Ninepoint Partners LP et al.

March 1, 2019

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b, 5.7(1)(b), 19.1(2).

Russell Investments Canada Limited

February 27, 2019

Applicable Legislative Provisions

National Instrument 81-102 Mutual Funds, ss. 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.


Evolve Funds Group Inc.

February 8, 2019

Applicable Legislative Provisions

National Instrument 41-101 General Prospectus Requirements, s. 19.1.
National Instrument 81-102 — Investment Funds, Parts 9, 10 and 14 and s. 19.1.


Canoe Financial LP et al.

February 7, 2019

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.


SmartBe Wealth Inc.

January 11, 2019

Applicable Legislative Provisions

 
National Instrument 81-102 Investment Funds, ss. 2.6(a), 19.1.
 


Harvest Portfolios Group Inc.

December 31, 2018

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.


Integra Capital Limited

December 17, 2018

Applicable Legislative Provisions

 
National Instrument 81-102 Investment Funds,
  ss. 5.5(1)(a.1), 19.1.
 

 


Yorkville Asset Management Inc.

December 6, 2018

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(a.1), 5.8(1)(a), 19.1.


BMO Nesbitt Burns Inc. et al.

December 6, 2018

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(f), 5.5(1)(b), 5.6, 5.7.


Ninepoint Partners LP et al.

November 20, 2018

Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.


CI Investments Inc. et al.

October 19, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.3(1)(g), 2.6, 2.6.1(1)(c), 2.6.1(2) and (3), 6.2(3)(a), 6.3(3)(a), 6.8, 7.1, 19.1.

CIBC Asset Management Inc.

October 15, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), 19.1.

Galileo Global Equity Advisors Inc.

October 15, 2018

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5, 15.1.National Instrument 81-107
  • Independent Review Committee for Investment Funds, ss. 6.1(2), 6.1(4).

Brompton Funds Limited

October 9, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a). 2.5(2)(e), 19.1.

1832 Asset Management L.P. et al.

October 2, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.6, 2.6.1(1)(c), (2), and (3), 2.7(1), (2), and(3), 2.8, 2.11, 6.8, 7.1, 19.1.

Starlight Investments Capital LP et al.

September 21, 2018

Applicable Legislative Provisions:

  • Securities Act (Ontario), R.S.O. 1990, c. S.5, as am., ss. 59(1), 147.
  • National Instrument 41-101 General Prospectus Requirements, s. 19.1.
  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and s. 6.1.
  • National Instrument 81-102 Investment Funds, Parts 9, 10 and 14 and s. 19.1.

MD Financial Management Inc.

September 21, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2, 19.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.2.

Brompton Funds Limited

September 21, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a) and (e), 19.1.

BMO Investments Inc.

September 21, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), (a.1), (c), (c.1), (e), 19.1.

MD Financial Management Inc

September 18, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(a.1), 19.1.

BofAML Securities, Inc.

September 18, 2018

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

Picton Mahoney Asset Management et al.

September 17, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.6, 2.6.1(1)(c), 2.6.1(2) and (3), 2.7(1), (2) and (3), 2.8, 6.2, 6.3, 7.1(a), 19.1.

OceanRock Investments Inc.

September 10, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(a); 5.5(1)(b), 5.5(1)(c).

Franklin Templeton Investments Corp.

September 6, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5, 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

BMO Asset Management Inc. et al.

September 5, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a) and (c), 19.1.

Coin Capital Investment Management Inc.

September 4, 2018

Applicable Legislative Provisions: 

  • Securities Act (Ontario), R.S.O. 1990, c. S.5, as am., ss. 59(1), 147.
  • National Instrument 41-101 General Prospectus Requirements, s. 19.1.
  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and s. 6.1.
  • National Instrument 81-102 Investment Funds, ss. 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.

Ninepoint Partners LP

September 4, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Ninepoint Partners LP

August 31, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.7(1), 2.7(4), 6.1, 19.1.

Ninepoint Partners LP

August 31, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.3(1)(f), 2.3(1)(h), 2.5(2)(a), 2.5(2)(c), 19.1.

Fidelity Investments Canada ULC

August 31, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a)/(b)/(e), 2.6(a)(i), 19.1.

Purpose Investments Inc.

August 29, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.6(a)(i), 19.1.

IA Clarington Investments Inc. et al.

August 27, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.
    [TRANSLATION]

Yorkville Asset Management Inc.

August 22, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, paragraphs 2.3(1)(f), 2.3(1)(h), 2.5(2)(a), 2.5(2)(c) and section 19.1.

Edgedhill Partners et al.

August 14, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, subsections 2.1(1), 2.6.1(1)(c), 2.6.1(2), (3), 2.7(1), (2), (3) and sections 2.6, 2.8, 2.11, 6.8, 7.1, 19.1.

Purpose Investments Inc. et al.

August 10, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, paragraph 5.5(1)(b) and subsection 19.1.

Invesco Canada Ltd.

July 27, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), 2.5(2)(c), 19.1.

Kew Media Group Inc.

July 25, 2018

Applicable Legislative Provisions:

  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2, ss. 5.2, 5.4 and 6.1.
  • National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, ss. 4.1, 4.5 and 11.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.

FT Portfolios Canada Co.

July 25, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

Evolve Funds Group Inc

July 23, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a). 2.5(2)(e), 19.1.

Canoe Financial LP

July 19, 2018

Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1, 2.2, 2.2.1, 2.2.2, 2.2.3, 2.3, 2.3.1, 4.1, 4.2.
  • Form 81-101F1.
  • Form 81-101F2.
  • Form 81-101F3.
  • National Instrument 81-102 Investment Funds, ss. 1.3(1), 2.5(2), 5.5(1), 9.3(1), 10.3(1) and Part 15.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, Parts 2, 3, 4, 5, 6, 10, 12, 15 and 16.


BMO Investments Inc.

July 13, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), (a.1), (c), (c.1), (e), and section 19.1.

RBC Global Asset Management Inc.

June 26, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a), (a.1) (c) and (c.1), and 19.1.

E Split Corp.

June 18, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.1(2)(e), 19.1(1).

Lysander Funds Limited

June 5, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

CWB Wealth Management Ltd.

June 1, 2018

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5, 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Soundvest Capital Management Ltd

May 23, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(a.1), 5.7(1)(a), 5.8(1), 19.1.

Fidelity Investments Canada ULC

May 18, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.3(1)(f), 2.3(1)(h), 2.5(2)(a), 2.5(2)(c) and 19.1.

BMO Investments Inc.

May 17, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(e), 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1 and 19.1.

J.P. Morgan Securities PLC

May 15, 2018

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.


Purpose Investments Inc. et al.

April 20, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, paragraph 5.5(1)(b) and subsection 19.1.

Ninepoint Partners LP et al.

March 28, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.7(1)(b).

OceanRock Investments Inc.

March 27, 2018

Applicable Legislative Provisions:

  • National Instrument 81-102 Mutual Fund section 5.5(1).

Beutel, Goodman & Company Ltd.

March 1, 2018

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5 and 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1(2) and 6.1(4).

Invesco Canada Ltd.

February 16, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

MD Financial Management Inc.

February 9, 2018

Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 12.2(2)(a).

1832 Asset Management L.P.

December 20, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a). 2.5(2)(e), 19.1.

Sprott Asset Management LP et al.

December 20, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.3(d), 2.3(e), 2.3(f), 6.1(1), 6.2, 10.3(2), 19.1.

1832 Asset Management L.P.

December 20, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(b), 19.1.

Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust

December 18, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1. Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2); Part C, Items 3(1) and 4.

Counsel Portfolio Services Inc.

December 14, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 12.2(2)(a).

MD Financial Management Inc

December 8, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.3(f), 2.3(h), 2.5(2)(a) and (c), 19.1.

Invesco Canada Ltd.

December 7, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.6(a)(i), 19.1.

Ninepoint Partners LP et al.

December 4, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.

Arrow Capital Management Inc.

November 21, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Mutual Funds, ss. 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.

Wells Fargo Securities, LLC

October 27, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

CI Investments Inc. et al.

October 24, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, s. 5.5(1)(b).

CI Investments Inc.

October 19, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.

Equium Capital Management Inc.

October 17, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Mutual Funds, ss. 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.

FT Portfolios Canada Co. et al.

October 6, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.5(3), 5.6, 5.7, 19.1.

Sentry Investments Inc.

September 27, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(a.1), 5.7(1)(a), 5.8(1), 19.1.

Guardian Capital LP et al.

September 20, 2017

Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4. 17.1.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1), and 4.3(2) and Part C, Items 3(1) and 4.


Guardian Capital LP et al.

September 20, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a.1),15.8(3)(a.1) and 19.1.
  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 2.1.

BNP Paribas Securities Corp.

September 15, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c.S.5, as amended ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

Guardian Capital LP

September 11, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.7(1), 2.7(4), 6.1, 19.1.

Norrep Capital Management Ltd. et al.

August 11, 2017

Applicable Legislative Provisions: 

  • NI 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1, 5.5(1)(b).
  • NI 81-102 Investment Funds, s. 3.1.
  • NI 81-106 Investment Fund Continuous Disclosure, s. 4.4.

Norrep Capital Management Ltd. et al.

August 11, 2017

Applicable Legislative Provisions:

  • NI 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1, 5.5(1)(b).
  • NI 81-102 Investment Funds, s. 3.1.
  • NI 81-106 Investment Fund Continuous Disclosure, s. 4.4.

PIMCO Canada Corp.

August 4, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.6(a), 9.1, 9.2, 9.3, 9.4, 10.1, 10.2, 10.3, 10.4, 10.5, 10.6, 14.1, 19.1.

Caldwell Investment Management Ltd. and Caldwell Canadian Value Momentum Fund

August 3, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Mutual Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a.1), 15.8(3)(a.1), 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s. 2.1.
  • National Instrument 81-106 Mutual Fund Continuous Disclosure, ss. 4.4 and 17.1.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2).
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part C, Items 3(1) and 4.
  • Form 81-101F3 Contents of Fund Facts Document, Part I, Item 5.


Caldwell Investment Management Ltd. and Caldwell Canadian Value Momentum Fund

August 3, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Mutual Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a.1), 15.8(3)(a.1), 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s. 2.1.
  • National Instrument 81-106 Mutual Fund Continuous Disclosure, ss. 4.4 and 17.1.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2).
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part C, Items 3(1) and 4.
  • Form 81-101F3 Contents of Fund Facts Document, Part I, Item 5.


Vertex One Asset Management Inc.

July 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2, 19.1 (NI 81-102).
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 15.1, 13.5(2)(b).

CI Investments Inc.

July 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 12.2(2)(a).

TD Asset Management Inc.

July 26, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

Marquest Asset Management Inc.

July 24, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.1.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(b), 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

SPR & Co LP

July 24, 2017

Applicable Legislative Provisions:

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5, 15.1.
  • National Instrument 81-102 Investment Funds, ss. 2.5(2), 2.5(7).
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1, 6.2.

TD Asset Management Inc.

July 20, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 19.1.

Canoe Financial LP et al.

July 17, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.

Invesco Canada Ltd. et al.

July 12, 2017

Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 19.1.

National Bank Investments Inc.

July 10, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), (b), (c) and (e).
    [TRANSLATION]

NGAM Canada LP

June 27, 2017

Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 6.1.
  • Form 81-101F1, Instruction (1) of Item 5, Item 13.2 of Part B.
  • Form 81-101F3, Instruction (1) of Item 2, Items 5(2), 5(3), 5(4), Instruction (1) of Item 5 of Part I.
  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a), 15.8(2)(a.1), 15.8(3)(a), 15.8(3)(a.1).
  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 4.4.
  • Form 81-106F1, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B, Items 3(1), 4 of Part C.

LOGiQ Capital 2016

June 22, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.5(3), 5.6, 5.7.

CI Investments Inc.

June 21, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(2) and (4)(c), 15.6(1)(a)(i) and (d), 15.8(2)(a) and (a.1), 15.8(3)(a) and (a.1), and 19.1.

The North West Company Inc.

June 14, 2017

Applicable Legislative Provisions:

  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2, ss. 5.2, 5.4, 6.1.
  • National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, ss. 4.1, 4.5, 11.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.

NGAM Canada LP

June 12, 2017

Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 6.1.
  • Form 81-101F1, Instruction (1) of Item 5, Item 13.2 of Part B.
  • Form 81-101F3, Instruction (1) of Item 2, Items 5(2), 5(3), 5(4), Instruction (1) of Item 5 of Part I.
  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.3(4)(c), 15.6(1)(a)(i), 15.6(1)(d), 15.8(2)(a), 15.8(2)(a.1), 15.8(3)(a), 15.8(3)(a.1).
  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 4.4.
  • Form 81-106F1, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B, Items 3(1), 4 of Part C.

Minister of Energy (Ontario) and Hydro One Limited

June 6, 2017

Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 74, 121(2)(a)(ii).
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.
  • National Instrument 51-102 Continuous Disclosure Obligations.
  • National Instrument 62-103 The Early Warning System and Related Take-over Bid and Insider Reporting Issues.
  • National Instrument 62-104 Take-Over Bids and Issuer Bids.
  • OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions.

Marquest Asset Management Inc.

May 30, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 12.2(2)(a).

CI Investments Inc.

May 29, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), (b), (c) and (e), 19.1.

National Bank Investments Inc. et al.

May 11, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.6, 5.7(1)(b) and 19.1.
    [Translation]

Canada Jetlines Ltd.

May 8, 2017

Applicable Legislative Provisions:

  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2, ss. 5.2, 5.4, 6.1.
  • National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, ss. 4.1, 4.5, 11.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.

I.G. Investment Management, Ltd. and Investors Group Funds

April 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(b), 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1(2), 6.1(4).
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.

Excel Funds Management Inc.

April 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), 2.5(2)(e), 19.1.

RBC Global Asset Management Inc.

April 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

BMO Investments Inc.

April 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

Excel Funds Management Inc.

April 28, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a) and (c), 19.1.

AGF Investments Inc

April 26, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

Genus Capital Management Inc.

April 21, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1)(a), 53, 74(1).

Rules Cited: 

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure.
  • National Instrument 81-102 Investment Funds.
  • National Instrument 45-106 Prospectus and Registration Exemptions.

Published Documents Cited: 

  • Amendments to NI 45-106 Registration and Prospectus Exemption for Certain Capital Accumulation Plans, (2005), 25 OSCB 8681.

BMO Nesbitt Burns Inc. et al.

April 6, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-104 Commodity Pools, sections 3.2 and 10.1.
  • National Instrument 81-102 Investment Funds, section 3.1.

1832 Asset Management L.P.

March 27, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

NGAM Canada LP

March 20, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss.15.3(4)(c) and (f), 19.1.

Excel Funds Management Inc.

March 15, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

SEI Investments Canada Company

March 2, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 15.3(4)(c) and (f), 19.1.

Common Wealth Pension Services Inc.

February 24, 2017

Statutes Cited:

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1)(a), 53, 74(1).

Rules Cited:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure.
  • National Instrument 81-102 Investment Funds.
  • National Instrument 45-106 Prospectus and Registration Exemptions.

Published Documents Cited:

  • Amendments to NI 45-106 — Registration and Prospectus Exemption for Certain Capital Accumulation Plans, (2005), 25 OSCB 8681.

UBS Securities LLC

February 16, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

J.P. Morgan Securities LLC

February 16, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

Goldman, Sachs & Co

February 16, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited:

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

BNP Paribas Prime Brokerage, Inc.

February 13, 2017

Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, s. 4.7.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.5, 8.18, 8.21.
  • National Instrument 81-102 Investment Funds.

Fidelity Investments Canada ULC

February 10, 2017

Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, sections 4.4 of and 17.1.

CI Investments Inc. et al.

February 8, 2017

Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(a) and (c), 19.1.

Middlefield Limited

January 19, 2017

Applicable Legislative Provisions:

  •  National Instrument 81-106 Investment Fund Continuous Disclosure, s. 12.2(2)(a).

Chorus Aviation Inc.

October 14, 2016

Applicable Legislative Provisions:

  • National Instrument 51-102 Continuous Disclosure Obligations.
  • National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues.
  • National Instrument 62-104 Take-Over Bids and Issuer Bids.

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