Regulatory Instruments  by Subject Matter

TABLE OF CONTENTS

PART 8 - MUTUAL FUNDS
Mutual Fund Distributions
81-101	National Instrument	Mutual Fund Prospectus Disclosure Fund of fund Amendments	In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000.  Amended national instrument in effect June 6, 2001. Fund of fund amendments effective Dec 31, 2003.	Implements a new regulatory regime governing the disclosure provided by mutual funds in satisfaction of the prospectus requirements of securities legislation. Requires the preparation and filing of a simplified prospectus and annual information form by all mutual funds in a prescribed form.
81-101CP	Companion Policy	Mutual Fund Prospectus Disclosure Companion Policy	In effect nationally February 1, 2000. In Saskatchewan April 19, 2000.
81-101CP	Companion Policy	Amendments to Mutual Fund Propsectus Disclosure Companion Policy	June 6, 2001
81-102	National Instrument	Mutual Funds Fund of fund amendments	In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000.  Amended national instrument in effect June 6, 2001. Fund of fund amendments effective December 31, 2003	Regulates all publicly offered investment funds that give investors the right to redeem securities on demand, including specialized mutual funds such as labour sponsored investment funds and mortgage funds.
81-102CP	Companion Policy	Mutual Funds Companion Policy Amendments to Mutual Funds Companion Policy	In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000.  Amendments in effect June 6, 2001.
81-104	Multilateral Instrument	Commodity Pools	In effect November 1, 2002.	Sets out the rules that govern the operation of commodity pools.  Allows them to invest in commodities and use derivatives in ways not permitted for conventional mutual funds.
81-104CP	Companion Policy	Commodity Pools Companion Policy	In effect November 1, 2002.
81-105	National Instrument	Mutual Fund Sales Practices	In effect nationally May 1, 1998. In Saskatchewan January 17, 2000.	Imposes restrictions on certain sales and business practices followed by managers and principal distributors of publicly offered mutual funds, and registered dealers and their sales representatives who sell them.
81-105CP	Companion Policy	Mutual Fund Sales Practices Companion Policy	In effect nationally May 1, 1998. In Saskatchewan January 17, 2000.
81-304	CSA Staff Notice	Trust Accounts for Mutual Fund Securities	May 14, 1999.	Assists dealers in complying with section 12 of National Policy 39 Mutual Funds, and sets out staff's views on the minimum internal controls appropriate to ensure dealers meet these requirements.
81-305	CSA Staff Notice	National Policy 12-201 Mutual Reliance Review System for Exemptive Relief Application.  ("ERA") - ERA and Applications for Approvals or Exemptions under National Policy No. 39 "Mutual Funds".	November 19, 1999.	Communicates the view of CSA staff on how the MRRS for Exemptive Relief Applications relates to applications for approvals and exemptions made under National Policy 39 Mutual Funds.
81-308	CSA Staff Notice	Prospectus Filing Matters - Arthur Andersen LLP Consent	June 28, 2002	Provides guidance to former clients of Arthur Andersen LLP - Canada about financial statements audited by the firm that are included in prospectuses and other documents.
81-309 and 81-309	CSA Staff Notice	Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-101 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Anderson LLP - Canada ceasing to practise public accounting.	August 9, 2002	Sets out staff's views on the application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-101 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Anderson LLP - Canada ceasing to practise public accounting.
81-310	CSA Staff Notice	Frequently Asked Questions on Fund of Fund Amendments	August 20, 2004
81-701	Local Staff Notice	Limited Powers of Attorney and Letters of Authorization Used in the Sale of Mutual Funds	September 12, 2000.	Sets out staffs' views on the use of powers of attorney and other like documents by dealers and their sales representatives in the purchase and redemption of mutual fund securities.
81-901	General Exemption Order	Exemption for Mutual Funds from Delivering Financial Statements	Feb 13, 2003	Exempts mutual funds from delivering annual and interim financial statements on certain conditions.

 

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