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.

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.

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.

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.

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.

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.

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.

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.

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)


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.


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.


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. 


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.


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.

Lysander Funds Limited

June 5, 2018


Applicable Legislative Provisions: 

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

Invesco Canada Ltd.

February 16, 2018


Applicable Legislative Provisions: 

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

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.

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.


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.

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.

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.

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.

AGF Investments Inc

April 26, 2017


Applicable Legislative Provisions: 

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

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.