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National Instrument 81-102 Investment Funds
Appendix D

Investment Fund Conflict of Interest Investment Restrictions

Jurisdiction Securities Legislation Reference
All Jurisdictions
ss. 13.5(2)(a) and (b) of National Instrument 31-103
Registration Requirements, Exemptions and Ongoing
Registrant Obligations
ss. 185(2) and (3) of the Securities Act (Alberta)
British Columbia
s. 6(2) of BC Instrument 81-513 Self-Dealing
New Brunswick
s. 137(2) of the Securities Act (New Brunswick)
Newfoundland and

ss. 112(2), 112(3), 119(2)(a) and 119(2)(b) of the Securities
Act (Newfoundland and Labrador)
Nova Scotia
ss. 119(2) and (3) of the Securities Act (Nova Scotia)
ss. 111(2) and (3) of the Securities Act (Ontario)
ss. 120(2) and (3) of the The Securities Act, 1988