Canada Life Investment Management Ltd. et al

2021-09-01


Applicable Legislative Provisions

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1(1).
  • National Instrument 81-102 Investment Funds, ss. 3.1, 15.1.1, 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) and 15.9(2), 19.1(1).
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4 and 17.1(1).
  • Form 81-101F1 Contents of Simplified Prospectus, Items 5(b), 9.1(b) and 13.2 of Part B.
  • Form 81-101F3 Contents of Fund Facts Document, Items 2, 3, 4 and 5 of Part I and Item 1.3 of Part II.
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Items 3.1(1), 3.1(7), 3.1(7.1), 3.1(8), 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.

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

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 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.

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).

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.

Evolve Funds Group Inc.

September 15, 2020


Applicable Legislative Provisions:

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

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.


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.

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.

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.

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.

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).

HSBC Global Asset Management

August 17, 2020


Applicable Legislative Provisions:

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

CI Investments Inc.

March 18, 2021


Applicable Legislative Provisions:

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

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.