Guardian Capital LP

January 19, 2021


Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 6.1.
  • National Instrument 81-102 Investment Funds, Parts 9, 10 and 14 and s. 19.1.


CIBC Asset Management Inc.

September 16, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 — Investment Funds, Parts 9, 10 and 14 and s. 19.1.


HSBC Global Asset Management

August 17, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Fund, ss. 2.18 and 19.1.


Integra Capital Limited

December 14, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds — ss. 5.5(1)(a.1) and 5.5(3).


Vision Capital Corporation and Vision Market Neutral Alternative Fund (the Fund)

December 7, 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 and 19.1.
  • National Instrument 81-106 Investment 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 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) and Part C, Item 4


CI Investments Inc et al.

January 5, 2021


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.6(1)(a)(i), 15.6(1)(b), 15.6(1)(d), 15.8(2)(a), 15.8(2)(a.1), 15.8(3)(a), 15.8(3)(a.1), 15.1.1(a), 15.1.1(b), and 19.1.
  • Items 2 and 4 of Appendix F Investment Risk Classification Methodology to National Instrument 81-102 Investment Funds.
  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss 2.1 and 6.1.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2), 3B.2, and 19.1.
  • Item 2, Item 4(2)(a), Instructions of Item 4, and Item 5 of Part I, and Item 1.3 of Part II, of Form 41-101F4 Information Required in an ETF Facts Document.
  • Items 5(b), 9.1(b) and 13.2 of Part B of Form 81-101F1 Contents of Simplified Prospectus.
  • Item 17.2 of Form 41-101F2 Information Required in an Investment Fund Prospectus.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 2.1, 2.3, 4.4 and 17.1.
  • Items 3.1(1), 3.1(7), 3.1(8), 3.1(13), 4.1(1), 4.1(2), 4.2(1), 4.2(2), 4.3(1)(a) and 4.3(1)(b) of Part B, and Items 3(1) and 4 of Part C, of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.


FT Portfolios Canada Co.

November 6, 2020


Applicable Legislative Provisions:

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


Invesco Canada Ltd.

January 26, 2021


Applicable Legislative Provisions

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


I.G. Investment Management, Ltd.

September 22, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 2.8(1)(d), 2.8(1)(f)(i), and 19.1.


Franklin Templeton Investments Corp. et al.

August 21, 2020


Applicable Legislative Provisions:

  • 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), 15.8(3)(a), 15.9(2), 15.1.1 and 19.1.


PIMCO Canada Corp.

November 10, 2020


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, ss. 6.1(2), 6.1(4).


Next Edge Bio-Tech Plus Fund et al.

December 1, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.1(1)(f), 5.5(1)(b), 5.6(1), 5.7(1)(b) and 19.1(2).


CI Investments Inc.

March 18, 2021


Applicable Legislative Provisions:

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


Northwest & Ethical Investments L.P.

December 18, 2020


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 5.5(1)(b), 5.6(1), 5.7(1)(b) and 19.1(2).


CI Investments Inc

March 19, 2021


Applicable Legislative Provisions:

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


Evolve Funds Group Inc.

September 15, 2020


Applicable Legislative Provisions:

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


Vanguard Investments Canada Inc.

February 22, 2021


Applicable Legislative Provisions:

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


1832 Asset Management L.P. et al.

March 9, 2021


Applicable Legislative Provisions:

  • National Instrument 81-102 Investments Funds, ss. 6.1(1), 6.1(3)(b), 6.2 and 19.1.



Emerge Canada Inc.

2021-03-09


Applicable Legislative Provisions:

  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2) and 19.1.
  • National Instrument 81-102 — Investment Funds, Parts 9, 10 and 14 and s. 19.1.


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 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.


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.


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

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.


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).



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.


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.



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, subsection 2.1(1) and section 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.

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.


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.


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.


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.


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.


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).


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).



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.



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 81-101 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).


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.


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.



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).



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).


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.



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).



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.
 

 



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.



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.



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.


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.


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.


Brompton Funds Limited

September 21, 2018


Applicable Legislative Provisions:

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


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.


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.


MD Financial Management Inc

September 18, 2018


Applicable Legislative Provisions:

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


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.


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).


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.


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.


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.


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.


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.


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).


Invesco Canada Ltd.

February 16, 2018


Applicable Legislative Provisions: 

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


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. 2.1(1), 2.2(1)(a), 2.5(2)(a). 2.5(2)(e), 19.1.


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 81-102 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).


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.


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.


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).


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.


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.


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]


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.


BMO Investments Inc.

April 28, 2017


Applicable Legislative Provisions: 

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


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.


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.


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.


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.


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.


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.


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.


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.