Evolve Funds Group Inc.

September 15, 2020


Applicable Legislative Provisions:

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


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.

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.

National Financial Services LLC

March 31, 2020


Statutes Cited: 

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 1(1), 19, 19(1), 19(2), 25(1), 74(1).

Instruments Cited: 

  • Multilateral Instrument 11-102 Passport System, ss. 4.7, 4.7(1).
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.5, 8.18, 8.18(2), 8.21, Form 31-103F1 Calculation of Excess Working Capital.
  • National Instrument 81-102 Investment Funds, Part 6.
  • Ontario Securities Commission Rule 13-502 Fees.

Fidelity Prime Financing LLC

March 31, 2020


Applicable Legislative Provisions

Statutes Cited
Securities Act, R.S.O. 1990, c. S.5, as am., ss. 1(1), 19, 19(1), 19(2), 25(1), 74(1).
Instruments Cited
Multilateral Instrument 11-102 Passport System, ss. 4.7, 4.7(1).
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 1.1, 8.5, 8.18, 8.18(2), 8.21, Form 31-103F1 Calculation of Excess Working Capital.
National Instrument 81-102 Investment Funds, Part 6.
Ontario Securities Commission Rule 13-502 Fees.


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 et al.

September 24, 2019


Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 6.1, 6.8.1, 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.


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.


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.

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.

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.

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.

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.

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.

Guardian Capital LP

September 11, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 2.7(1), 2.7(4), 6.1, 19.1.