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.

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.

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.

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.

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.

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.

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 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.

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.

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.

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. 2.1(1), 2.2(1)(a), 2.5(2)(a). 2.5(2)(e), 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.

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.

SPR & Co LP

July 24, 2017


Applicable Legislative Provisions:

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5, 15.1.
  • National Instrument 81-102 Investment Funds, ss. 2.5(2), 2.5(7).
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1, 6.2.

National Bank Investments Inc.

July 10, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), (b), (c) and (e).
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CI Investments Inc.

May 29, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.1(1), 2.2(1)(a), 2.5(2)(a), (b), (c) and (e), 19.1.

Excel Funds Management Inc.

April 28, 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.

Excel Funds Management Inc.

April 28, 2017


Applicable Legislative Provisions: 

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

CI Investments Inc. et al.

February 8, 2017


Applicable Legislative Provisions: 

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