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National Instrument 81-102 Investment Funds

Part 9.1 Warrants and Specified Derivatives


National Instrument 81-102 Investment Funds
Part 9.1 Warrants and Specified Derivatives
Section 9.1.1

Issuance of Warrants or Specified Derivatives

An investment fund must not

(a) issue a conventional warrant or right, or

(b) enter into a short position in a specified derivative the underlying interest of which is a security of the investment fund.

Share the post "Issuance of Warrants or Specified Derivatives"

  • National Instrument 81-102 Investment Funds
    • Part 1 Definitions and Application
    • Part 2 Investments
    • Part 3 New Mutual Funds
    • Part 4 Conflicts of Interest
    • Part 5 Fundamental Changes
    • Part 6 Custodianship of Portfolio Assets
    • Part 7 Incentive Fees
    • Part 8 Contractual Plans
    • Part 9 Sale of Securities of an Investment Fund
    • Part 9.1 Warrants and Specified Derivatives
    • Part 10 Redemption of Securities of an Investment Fund
    • Part 11 Commingling of Cash
    • Part 12 Compliance Reports
    • Part 13 [Repealed]
    • Part 14 Record Date
    • Part 15 Sales Communications and Prohibited Representations
    • Part 15.1 Investment Risk Classification Methodology
    • Part 16 [Repealed]
    • Part 17 [Repealed]
    • Part 18 Securityholder Records
    • Part 19 Exemptions and Approvals
    • Part 20 Transitional
    • Appendix A
    • Appendix B-1
    • Appendix B-2
    • Appendix B-3
    • Appendix C
    • Appendix D
    • Appendix E
    • Appendix F
  • Companion Policy to NI 81-102 Investment Funds
    • Part 1 Purpose
    • Part 2 Comments on Definitions Contained in the instrument
    • Part 3 Investments
    • Part 4 Use of Specified Derivatives
    • Part 5 Liability and indemnification
    • Part 6 Securityholder Matters
    • Part 7 Changes
    • Part 8 Custodianship of Portfolio Assets
    • Part 9 Contractual Plans
    • Part 10 Sales and Redemptions of Securities
    • Part 11 Commingling of Cash
    • Part 12 [Deleted]
    • Part 13 Prohibited Representations and Sales Communications
    • Part 14 [Deleted]
    • Part 15 Securityholder Records
    • Part 16 Exemptions and Approvals

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