Securities Law & Instruments


Instruments, Rules & Policies


Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:

8 - Investment Funds

81-101 81-101CP Mutual Funds Prospectus Disclosure
81-102 81-102CP Investment Funds
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81-301 Mutual Fund Prospectus Disclosure System (Withdrawn by (1999) 22 OSCB Supp-2) page 3, effective as of February 1, 2000)
81-302 Sales of Mutual Funds in Upcoming RRSP Season (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
81-304, 33-303 Trust Accounts for Mutual Fund Securities [Withdrawn by CSA Staff Notice 11-302, December 21, 2001.]
81-306 Disclosure by Mutual Funds of Changes in Calculation of Management Expense Ratio (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
81-308 3-304, and 62-302 - Prospectus Filing Matters - Arthur Andersen LLP Consent
81-309 and 52-304 81-309 and 52-304 Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-102 Mutual Funds [Withdrawn by CSA Notice 11-309, March 3, 2006.]
81-310 Frequently Asked Questions Fund of Fund Amendments (Withdrawn by CSA Notice 11-313, February 19, 2010)
81-311 Report on Consultation Paper 81-403 Rethinking Point of Sale Disclosure for Mutual Funds and Segregated Funds (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
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Foreign Content Restrictions for Registered Plans - Eliminating Indirect Foreign Content Exposure in Certain RSP Funds (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
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81-319 Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
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 (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
81-322 Status Report on the Implementation of the Modernization of Investment Fund Product Regulation Project (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
81-323 Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees
81-324 Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts
81-325 Status Report on Consultation under CSA Notice 81-324 and Request for Comment on Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts
81-326 Update on an Alternative Funds Framework for Investment Funds
81-327 Next Steps in the CSA’s Examination of Mutual Fund Fees
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 (Withdrawn by CSA Staff Notice 11-333, December 1, 2016)
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
81-720 Report on Staff’s Continuous Disclosure Review of Sales Communications by Investment Funds
81-721 Frequently Asked Questions on the Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds - Delivery of Fund Facts
81-722 Mortgage Investment Entities and Investment Funds
81-723 Summary Report for Investment Fund Issuers 2013
81-724 Report on Staff's Continuous Disclosure Review of the Fees and Expenses Disclosure by Investment Funds
81-725 Recent Amendments to Part XXI Insider Trading and Self-Dealing of the Securities Act (Ontario) - Transition Issues
81-726 Summary Report for Investment Fund and Structured Product Issuers - 2014
81-727 OSC Staff Notice 81-727 Report on Staff’s Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity
81-728 OSC Staff Notice 81-728 – Use of “Index” in Investment Fund Names and Objectives
81-729 Summary Report for Investment Fund and Structured Product Issuers - 2015
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

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