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.

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).

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.

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).

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.

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).

HSBC Global Asset Management

August 17, 2020


Applicable Legislative Provisions:

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

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

Evolve Funds Group Inc.

September 15, 2020


Applicable Legislative Provisions:

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

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.

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.

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.

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).