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PART 8 -
MUTUAL FUNDS |
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Mutual Fund Distributions |
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81-101 |
National Instrument |
Mutual Fund Prospectus Disclosure
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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. Amended June 1, 2005. |
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. |
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Amendments
Amendments |
In effect Nov. 1, 2006.
In effect March 17, 2008. |
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Amendments to Form 81-101F1
Amendments to Form 81-101F2
Amendments to Form 81-101F2 |
In effect March 17, 2008.
In effect March 17, 2008.
In effect September 8, 2008 |
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81-101CP |
Companion Policy |
Mutual Fund Prospectus Disclosure Companion Policy
Amendments |
In effect nationally February 1, 2000. In Saskatchewan April 19, 2000.
Amended June 6, 2001. Amended June 1, 2005
In effect March 17, 2008 |
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81-102 |
National Instrument |
Mutual
Funds
Amendments to 81-102 |
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.
Amended June 1, 2005. Amended November 1, 2006
In effect September 8, 2008 |
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. |
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81-102CP |
Companion Policy |
Mutual Funds Companion Policy
Amendments to 81-102CP
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In effect nationally Feb 1, 2000. In Saskatchewan Apr 19, 2000. Amendments in effect June 6, 2001.
Amended June 1, 2005
In effect September 8, 2008 |
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81-104 |
Multilateral Instrument |
Commodity Pools
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In effect November 1, 2002.
Amended
September 19, 2005.
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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. |
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Amendments
Amendments
Amendments
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In effect November 1, 2006.
In effect March 17,
2008. In effect March 17,
2008. |
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81-104CP |
Companion Policy |
Commodity Pools
Companion Policy
Amendments
Amendments |
In effect November 1, 2002.
In effect March 17, 2008.
In effect March 17,
2008. |
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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. |
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81-105CP |
Companion Policy |
Mutual Fund Sales Practices Companion Policy |
In effect nationally May 1, 1998. In Saskatchewan January 17, 2000. |
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81-106 |
National Instrument |
NI 81-106 Investment
Fund Continuous Disclosure
Amendments to NI 81-106
Amendments to NI 81-106 |
In effect June 1, 2005.
Amended November 1, 2006
In effect July 4, 2008
In effect September 8, 2008 |
Sets out continuous disclosure
obligations of investment funds. |
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Form 81-106F1
Contents of Annual and Interim Management Report of Fund
Performance
Amendments to Form 81-106F1 |
In effect September 8, 2008 |
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Companion Policy |
Investment Fund
Continuous Disclosure Companion Policy
Amendments to 81-106CP |
In effect June 1, 2005
In effect September 8, 2008 |
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81-107 |
National Instrument |
NI
81-107 - Independent Review Committee for Investment Funds |
In effect Nov 1, 2006 |
An independent oversight regime
for all publicly offered investment funds that is intended
to improve investment fund governance. |
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81-304 |
CSA Staff Notice |
Trust Accounts for Mutual Fund Securities |
In effect 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. |
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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". |
In effect 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. |
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81-310 |
CSA Staff Notice |
Frequently
Asked Questions on Fund of Fund Amendments |
In effect August 20, 2004 |
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81-314 |
CSA Staff Notice |
Removal of Foreign
Content Restrictions for Registered Plans - Eliminating
Indirect Foreign Content Exposure in Certain RSP Funds |
In effect March 18, 2005 |
Sets out staff's initial
guidance in response to the 2005 federal budget proposal to
remove foreign content restrictions for registered plans. |
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81-315 |
CSA Staff Notice |
Frequently Asked
Questions on NI 81-106 Investment Fund Continuous
Disclosure |
In effect November 25, 2005 |
Sets out a list of frequently
asked questions on staff's response to those questions. |
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81-316 |
CSA Notice |
Hedge Funds |
In effect January 12, 2006 |
Summarizes the findings of a
sample-based review of hedge funds in CAnada |
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81-701 |
Local Staff Notice |
Limited Powers of Attorney and Letters of Authorization Used in the Sale of Mutual Funds |
In effect 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. |
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81-902 |
General Exemption Order |
Certain
MFDA Members: Commingling of Funds (GRO 81-902). |
August 9, 2007 |
Grants an exemption to
certain members of the MFDA from the commingling
requirements in NI 81-101 Mutual Funds on certain
conditions. |
