Securities Law & Instruments
Instruments, Rules & Policies
Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:
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8 - Investment Funds
- 81-101 81-101CP - Mutual Funds Prospectus Disclosure
- 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 - (formerly 81-503) - Mutual Fund Sales Practices
- 81-106 - Investment Fund Continuous Disclosure
- 81-107 - Independent Review Committee for Investment Funds
- 81-301 - Mutual Fund Prospectus Disclosure System (Withdrawn by (1999) 22 OSCB Supp-2) page 3, effective as of February 1, 2000)
- 81-302 - Sales of Mutual Funds in Upcoming RRSP Season
- 81-304, 33-303 - Trust Accounts for Mutual Fund Securities [Withdrawn by CSA Staff Notice 11-302, December 21, 2001.]
- 81-306 - Disclosure by Mutual Funds of Changes in Calculation of Management Expense Ratio
- 81-308 - 3-304, and 62-302 - Prospectus Filing Matters - Arthur Andersen LLP Consent
- 81-309 and 52-309 - Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-102 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Andersen LLP - Canada ceasing to practise public accounting [Withdrawn by CSA Notice 11-309, March 3, 2006.]
- 81-310 - Frequently Asked Questions Fund of Fund Amendments (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 81-311 - Report on Consultation Paper 81-403 Rethinking Point of Sale Disclosure for Mutual Funds and Segregated Funds
- 81-312 - Final Guidlines for Capital Accumulation Plans Prepared by the Joint Forum of Financial Market Regulators
- 81-313 - Status of Proposed National Instrument 81-106 Investment Fund Continuous Disclosure
- 81-314 - Removal of Foreign Content Restrictions for Registered Plans - Eliminating Indirect Foreign Content Exposure in Certain RSP Funds
- 81-315 - FAQ on NI 81-106 Investment Fund Continuous Disclosure
- 81-316 - Hedge Funds
- 81-317 - Frequently Asked Questions on National Instrument 81-107 Independent Review Committee for Investment Funds
- 81-318 - Request for Comment - Framework 81-406 Point of sale disclosure for mutual funds and segregated funds
- 81-319 - Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds
- 81-320 - (Revised) Update on International Financial Reporting Standards for Investment Funds
- 81-321 - Early Use of The Fund Facts to Satisfy Prospectus Delivery Requirements
- 81-322 - Status Report on the Implementation of the Modernization of Investment Fund Product Regulation Project
- 81-401 - CSA Request For Comments - Joint Forum of Financial Market Regulators Discussion Paper Proposed Regulatory Principles for Capital Accumulation Plans
- 81-402 - Mutual Fund Governance
- 81-403 - Rethinking Point of Sale Disclosure for Segregated Funds and Mutual Funds
- 81-404 - Request for Comment on Joint Forum Guidelines for Capital Accumulation Plans - Proposed Guidelines for Capital Accumulation Plans prepared by the Joint Forum of Financial Market Regulators
- 81-405 - Request for Comment on Proposed Exemptions for Certain Capital Accumulation Plans
- 81-406 - Point of Sale Disclosure for Mutual Funds and Segregated Funds
- 81-407 - CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees
- 81-501 - Mutual Fund Reinvestment Plans
- 81-704 - Limited Powers of Attorney and Letters of Authorization Used in the Sale of Mutual Funds
- 81-705 - Implementation of a Continuous Disclosure Review Program for Investment Funds - Investment Funds Branch
- 81-706 - Treatment of Sales Commissions in the Calculation of Net Asset Value of Labour Sponsored Investment Funds
- 81-708 - Model Portfolios of Mutual Funds
- 81-709 - Report on Staff's Continuous Disclosure Review of Investment Funds (2008)
- 81-710 - Approvals for Change in Control of a Mutual Fund Manager and Change of a Mutual Fund Manager under National Instrument 81-102 Mutual Funds
- 81-711 - Closed-End Investment Fund Conversions to Open-End Mutual Funds
- 81-712 - 2010 Investment Funds Branch Annual Report
- 81-713 - Focussed Disclosure Review – National Instrument 81-107 Independent Review Committee for Investment Funds
- 81-714 - Compliance with Form 41-101F2 - Information Required In An Investment Fund Prospectus
- 81-715 - Cross-Listings by Foreign Exchange-Traded Funds
- 81-716 - Summary Report for Investment Fund Issuers
- 81-717 - Report on Staff’s Continuous Disclosure Review of Portfolio Holdings by Investment Funds
- 81-718 - Summary Report for Investment Fund Issuers 2012
- 81-719 - Effect of Proposed Income Tax Act Amendments on Investment Funds – Character Conversion Transactions
- 81-801 - Implementing National Instrument 81-106 Investment Fund
- 81-802 - Implementing National Instrument 81-107 Independent Review Committee for Investment Funds
- 81-901 - Approval of Trustees of Mutual Fund Trust
- Disclosure of Management Expense Ratio (MER) in Financial Statements -
