Investment Funds

Filing Procedures


Most of the regulatory filings investment funds are required to make fall into three categories:

  1. filings related to the offering of securities by prospectus or exempt distribution;
  2. continuous disclosure filings; and
  3. applications for exemptive relief.
These filings must be made electronically.

SEDAR

Investment funds are required to make their prospectus and continuous disclosure filings through the System for Electronic Document Analysis and Retrieval, or SEDAR. For a more detailed explanation of SEDAR see Information for Companies.

National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) (NI 13-101) sets out how issuers are to use SEDAR. A list of the documents which must be filed on SEDAR is contained in Appendix A to NI 13-101.

Currently, the only type of exemptive relief application that must be filed on SEDAR is an application under National Instrument 81-102 Mutual Funds (NI 81-102).

SEDI

The System for Electronic Disclosure by Insiders, or SEDI, is used by investment funds other than mutual funds for insider reporting. For a more detailed explanation of SEDI see Information for Companies.

ELECTRONIC FILINGS

Appendix A to NI 13-101 lists the documents which must be filed electronically through SEDAR. Documents not listed in Appendix A to NI 13-101 must be filed through the OSC's electronic filing portal effective February 19, 2014. The most common filings are applications for an exemption, other than applications under NI 81-102. More information can be found in Information for Companies.

In addition, any continuous disclosure notices and Form 45-106F1 or Form 45-501F1 that an investment fund must file if it distributes securities pursuant to certain exemptions, must be filed through the OSC's electronic filing portal, effective February 19, 2014.

For more information: