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Laws and Rules


Investment funds are subject to a number of laws and rules, some provincial and some national. Below is a list of the main laws and rules that apply to investment funds in Canada. The Commission staff makes decisions affecting investment funds under these laws and rules:


National Instruments
41-101 General Prospectus Requirements
45-106 Prospectus and Registration Exemptions
81-101 81-101CP - Mutual Fund Prospectus Disclosure and Rescission of National Policy No. 36
81-102 81-102CP - Mutual Funds and Rescission of National Policy Statement No. 34 and National Policy Statement No. 39
81-104 - Commodity Pools
81-105 81-105CP (formerly 81-503) - Mutual Fund Sales Practices
81-106 and Companion Policy 81-106CP - Investment Fund Continuous Disclosure, and Form 81-106F1
81-107 - Independent Review Committee for Mutual Funds
   
OSC Rules
13-502 - Fees
41-501 41-501CP - General Prospectus Requirements and Forms
41-502 - Prospectus Requirements for Mutual Funds
41-801 - Implementing National Instrument 41-101 General Prospectus Requirements
45-501 45-501CP - Exempt Distributions
51-501, 51-501CP, AIF and MD&A and Proposed Rescission of OSC Policy Statement No. 5.10 Annual Information Form and Management's Discussion and Analysis of Financial Condition and Results of Operations
81-801 - Implementing National Instrument 81-106 Investment Fund
81-802 - Implementing National Instrument 81-107 Independent Review Committee for Investment Funds


Securities Act (Ontario) and Regulations

Orders, Rulings, & Decisions



 
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