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NI 81-106 Exemptive Relief Orders/F1/Part C/

Exemptive Relief Orders (2019 - 2021): Item 3

Arrow Capital Management Inc. and Arrow Global Opportunities Alternative Class

23-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1.
  • Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • 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) and 19.1.
  • 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 and Items 3(1) and 4 of Part C of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.

Ninepoint Partners LP et al

15-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, ss. 2.1 and 6.1(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.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2), 3B.2 and 19.1.
  • Form 41-101F2 Information Required in an Investment Fund Prospectus, Item 17.2.
  • Form 41-101F4 Information Required in an ETF Facts Document, Items, 2, 3, 4 and 5 of Part I, and Item 1.3 of Part II.
  • National Instrument 81-102 Investment Funds, ss. 2.3(1)(f), 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(2)(a.1), 15.8(3)(a), 15.8(3)(a.1), 15.9(2) and 19.1(1), and Items 2 and 4 of Appendix F Investment Risk Classification Methodology.
  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 2.1, 2.3, 4.4 and 17.1(1).
  • 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), 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.

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.

CI Investments Inc. et al

2021-07-26


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 81-101 Investment Fund Prospectus Disclosure, ss. 2.1 and 6.1.
  • Item 9.1(b) of Part B of Form 81-101F1 Contents of Simplified Prospectus.
  • Item 4 and Item 5 of Part I of Form 81-101F3 Contents of Fund Facts Document.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3B.2, 3B.3 and 19.1.
  • Item 4 of Part 1 of Form 41-101F4 Information Required in an ETF 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 and Items 3(1) and 4 of Part C of Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance.

Mackenzie Financial Corporation et al.

2021-06-16


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.

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.

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.

Lysander Funds Limited and Lysander-Canso Credit Opportunities Fund

April 24, 2020


Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 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 and Items 3(1) and 4 of Part C of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.

Venator Capital Management Ltd. and Venator Income Fund

February 7, 2020


Applicable Legislative Provisions:

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 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 and Items 3(1) and 4 of Part C of Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance.

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.

Horizons ETFS Management (Canada) Inc. et al.

2019-11-08


Applicable Legislative Provisions

  • National Instrument 81-102 Investment Funds, ss. 15.6(1)(a)(i), 15.6(1)(d)(i), 15.8(2)(a), 15.8(3)(a), 15.9(2)(d) and 19.1.
  • National Instrument 41-101 General Prospectus Requirements, ss. 3B.2 and 17.1.
  • Item 17.2 of Form 41-101F2 Information Required in an Investment Fund Prospectus.
  • Items 2 and 5 of Part I of Form 41-101F4 and Item 1.3 and 1.4 of Form 41-101F4 Information Required in an ETF Facts Document.
  • 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), 4.1(1), 4.1(2), 4.2(1), 4.2(2) and 4.3(1)(a) and 4.3(2) of Part B of Form 81-106F1 and Items 3(1) and 4 of Part C of Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance.

Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund (previously named “The Pembroke Corporate Bond Fund”)

May 1, 2019


Applicable Legislative Provisions:

  • National Instrument 81-102 Investment Funds, ss. 15.3(2), 15.6(1)(a)(i), 15.6(1)(d), 19.1.
  • National Instrument 81-101 Investment Fund Prospectus Disclosure, s. 2.1.
  • 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), and 4.3(2) of Part B, and Items 3(1) and 4 of Part C.

Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund

May 1, 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 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance and Items 3(1) and 4 of Part C of Form 81-106F1.

Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust

December 18, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-106 Investment Fund Continuous Disclosure, ss. 4.4, 17.1. Form 81-0106F1 Contents of Annual and Interim Management Report of Fund Performance, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2); Part C, Items 3(1) and 4.

Guardian Capital LP et al.

September 20, 2017


Applicable Legislative Provisions:

  • 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, Part B, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1), and 4.3(2) and Part C, Items 3(1) and 4.

Caldwell Investment Management Ltd. and Caldwell Canadian Value Momentum Fund

August 3, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Mutual 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 Investment Fund Prospectus Disclosure, s. 2.1.
  • National Instrument 81-106 Mutual 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 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2).
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part C, Items 3(1) and 4.
  • Form 81-101F3 Contents of Fund Facts Document, Part I, Item 5.

Caldwell Investment Management Ltd. and Caldwell Canadian Value Momentum Fund

August 3, 2017


Applicable Legislative Provisions: 

  • National Instrument 81-102 Mutual 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 Investment Fund Prospectus Disclosure, s. 2.1.
  • National Instrument 81-106 Mutual 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 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2).
  • Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance, Part C, Items 3(1) and 4.
  • Form 81-101F3 Contents of Fund Facts Document, Part I, Item 5.

NGAM Canada LP

June 27, 2017


Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 6.1.
  • Form 81-101F1, Instruction (1) of Item 5, Item 13.2 of Part B.
  • Form 81-101F3, Instruction (1) of Item 2, Items 5(2), 5(3), 5(4), Instruction (1) of Item 5 of Part I.
  • 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), 15.8(2)(a.1), 15.8(3)(a), 15.8(3)(a.1).
  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 4.4.
  • Form 81-106F1, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B, Items 3(1), 4 of Part C.

NGAM Canada LP

June 12, 2017


Applicable Legislative Provisions:

  • National Instrument 81-101 Mutual Fund Prospectus Disclosure, s. 6.1.
  • Form 81-101F1, Instruction (1) of Item 5, Item 13.2 of Part B.
  • Form 81-101F3, Instruction (1) of Item 2, Items 5(2), 5(3), 5(4), Instruction (1) of Item 5 of Part I.
  • 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), 15.8(2)(a.1), 15.8(3)(a), 15.8(3)(a.1).
  • National Instrument 81-106 Investment Fund Continuous Disclosure, s. 4.4.
  • Form 81-106F1, Items 3.1(7), 4.1(1), 4.1(2), 4.2(1), 4.3(1) and 4.3(2) of Part B, Items 3(1), 4 of Part C.

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