HSBC Global Asset Management

August 17, 2020


Applicable Legislative Provisions:

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

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.

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.

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.

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.

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.

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.

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.


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).


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.


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.


SmartBe Wealth Inc.

January 11, 2019


Applicable Legislative Provisions

 
National Instrument 81-102 Investment Funds, ss. 2.6(a), 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.

Brompton Funds Limited

September 21, 2018


Applicable Legislative Provisions:

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

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.

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.

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.

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.

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).

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.

1832 Asset Management L.P.

December 20, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.5(2)(b), 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.

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.

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.

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.

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.