NI 81-102 Exemptive Relief Orders/Part 4/

Exemptive Relief Orders (2019 - 2021): s.4.2

Sun Life Assurance Company Canada, Sun Life Capital Trust

23-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1 and 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

Fidelity Investments Canada ULC and Fidelity Advantage Bitcoin ETF™

19-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.

Fidelity Investments Canada ULC

2021-05-18


Applicable Legislative Provisions

  • National Instrument 81-102, section 4.2(1).
  • National Instrument 31-103, subsections 13.5(2)(b)(ii) and (iii). 

Algonquin Capital Corporation

2021-01-19


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds — ss. 4.2(1), 6.1, 6.8.1, 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).

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).

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).

Manulife Asset Management Limited

May 9, 2019


Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5 and 15.1.
National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

TD Asset Management Inc.

April 18, 2019


Applicable Legislative Provisions

National Instrument 81-102 Investment Funds, ss. 4.2(1) and 19.2.
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5 and 15.1.
National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Picton Mahoney Asset Management

March 25, 2019


Applicable Legislative Provisions

National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5, 15.1.
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).

MD Financial Management Inc.

September 21, 2018


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2, 19.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.2.

Franklin Templeton Investments Corp.

September 6, 2018


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5, 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Ninepoint Partners LP

September 4, 2018


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, s. 6.1(2).

CWB Wealth Management Ltd.

June 1, 2018


Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5, 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

Vertex One Asset Management Inc.

July 28, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2, 19.1 (NI 81-102).
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 15.1, 13.5(2)(b).

Marquest Asset Management Inc.

July 24, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.1.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(b), 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, s. 6.1(2).

I.G. Investment Management, Ltd. and Investors Group Funds

April 28, 2017


Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(b), 15.1.
  • National Instrument 81-107 Independent Review Committee for Investment Funds, ss. 6.1(2), 6.1(4).
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 4.3(1), 4.3(2), 19.2.

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