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Exemptive Relief Orders (2019 - 2021): NI 81-102 Exemptive Relief Orders

Beutel Goodman Company Ltd.

07-Dec-21


Applicable Legislative Provisions: 

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

Middlefield Limited

30-Nov-21


Applicable Legislative Provisions: 

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

Arrow Capital Management Inc. and Arrow Global Opportunities Alternative Class

23-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1.
  • Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • 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 81-106 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 and Items 3(1) and 4 of Part C of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.

Sun Life Assurance Company Canada, Sun Life Capital Trust

23-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1 and 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

Fidelity Investments Canada ULC and Fidelity Advantage Bitcoin ETF™

19-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.

3iQ Corp.

18-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 6.8(1), 6.8(2)(c) and 19.1

Ninepoint Partners LP et al

15-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1(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.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2), 3B.2 and 19.1.
  • Form 41-101F2 Information Required in an Investment Fund Prospectus, Item 17.2.
  • Form 41-101F4 Information Required in an ETF Facts Document, Items, 2, 3, 4 and 5 of Part I, and Item 1.3 of Part II.
  • National Instrument 81-102 Investment Funds, ss. 2.3(1)(f), 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(2)(a.1), 15.8(3)(a), 15.8(3)(a.1), 15.9(2) and 19.1(1), and Items 2 and 4 of Appendix F Investment Risk Classification Methodology.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 2.1, 2.3, 4.4 and 17.1(1).
  • 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), 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.

Desjardins Global Asset Management Inc. et al

02-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.1(2) and 19.1.
  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 111(2)(b) and (c), and 113 and 117.

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.

Mackenzie Financial Corporation

2021-08-13


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.5(2)(b), 5.5(1)(b), 5.6(1) and 19.1(2).

CI Investments

2021-08-10


Applicable Legislative Provisions

  • Securities Act (Ontario), ss. 111(2)(a), 111(2)(c)(i), 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 81-102 Investment Funds, ss. 4.1(2) and 19.1.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.

CI Investments Inc. et al

2021-07-26


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 81-101 Investment Fund Prospectus Disclosure, ss. 2.1 and 6.1.
  • Item 9.1(b) of Part B of Form 81-101F1 Contents of Simplified Prospectus.
  • Item 4 and Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3B.2, 3B.3 and 19.1.
  • Item 4 of Part 1 of Form 41-101F4 Information Required in an ETF 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 and Items 3(1) and 4 of Part C of Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance.

CI Investments Inc.

2021-07-06


Applicable Legislative Provisions

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

Ninepoint Partners LP

2021-06-30


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 2.6.1(1)(c)(ii) and 19.1

Mackenzie Financial Corporation et al.

2021-06-16


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.

Purpose Investments Inc.

2021-05-28


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 10.3(1) and 19.1.
  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1(1), 4.1(3)(a), 4.1(3)(d), and 6.1.

Fidelity Investments Canada ULC

2021-05-28


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 1.1, 2.4(1), 2.4(2), 2.4(3) and 19.1.

BMO Investments Inc.

2021-05-28


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

Arrow Capital Management Inc.

2021-05-27


Applicable Legislative Provisions

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

Fidelity Investments Canada ULC

2021-05-18


Applicable Legislative Provisions

  • National Instrument 81-102, section 4.2(1).
  • National Instrument 31-103, subsections 13.5(2)(b)(ii) and (iii). 

Mackenzie Financial Corporation and Mackenzie Global Credit Opportunities Fund

2021-05-13


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 and 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. 4.1 and 17.1(1).

Purpose Investments Inc.

2021-04-30


Applicable Legislative Provisions

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

Evolve Funds Group Inc,

2021-04-27


Applicable Legislative Provisions

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

Mackenzie Financial Corporation

2021-03-22


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.5(2)(b), 5.5(1)(b), 5.6(1), 5.7(1)(b) and 19.1(2).

AGF Investments Inc. et al.

2021-03-22


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 9.4(1), 9.4(2), 9.4(4), 10.4(1) and 19.1.

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).

CI Investments Inc.

2021-03-18


Applicable Legislative Provisions

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

Accelerate Financial Technologies Inc.

2021-03-17


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 6.8(1), 6.8(2)(c) and 19.1

Citation: Re Accelerate Financial Technologies Inc., 2021 ABASC 29

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.

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.

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.

Invesco Canada Ltd.

2021-01-26


Applicable Legislative Provisions

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

Starlight Investments Capital LP

2021-01-19


Applicable Legislative Provisions

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

Guardian Capital LP

2021-01-19


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.
  • National Instrument 41-101 General Prospectus Requirements.

Algonquin Capital Corporation

2021-01-19


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds — ss. 4.2(1), 6.1, 6.8.1, 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.

CI Investments Inc et al.

2021-01-05


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 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.

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).

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

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).

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).

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.

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.

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.

Evolve Funds Group Inc.

September 15, 2020


Applicable Legislative Provisions:

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

HSBC Global Asset Management

August 17, 2020


Applicable Legislative Provisions:

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

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