Industry

The Investment Funds Practitioner


PDF Version PDF Version

Table of Contents by Topic (editions as of June 2017)

ANNOUNCEMENTS
Adoption of a T+2 Settlement Cycle for Conventional Mutual Funds June 2017
Branch Name Change July 2014

Changes in Investment Funds and Structured Products

Management Responsibilities June 2017
Project RID June 2017
Topical Reference Guide to the Practitioner July 2014
Stakeholder Outreach Sept 2016
APPLICATIONS FOR RELIEF
Approval to Act as Trustee under LTCA Nov. 2007
Asset Backed Commercial Paper (ABCP) Relief Nov. 2007
Cleared Swaps Relief Dec. 2016
Commingling Relief April 2007
Confidentiality Requests Dec. 2011
Disclosing Tax Consequences of Fundamental Changes Sept. 2016
Fund on Fund Relief
-Financial Statement Filing and Delivery Relief for Pooled Fund on Fund Dec. 2015
-Fund on Fund Relief and Conflicts Provisions Jan. 2010
-Pooled Fund on Fund Relief Dec. 2011
-Scope of Future-Oriented Relief for Pooled Fund on Fund Relief July 2015
-Update on Pooled Fund-on-Fund Relief June 2017
IRCs for Investment Funds
-Conflicts Provisions Jan. 2010
-Inter-fund Trades at Last Sale Price Sept. 2008
-Inter-Fund Trades and Reorganizations Sept. 2008
-Inter-Fund Trades with Pooled Funds and Managed Accounts Sept. 2008
-Inter-Fund Trades with Pooled Funds, IRC Notification Requirements July 2015
-Purchases of Related Party Debt on the Secondary Market Sept. 2008
-Non-Redeemable Funds and Purchases of Related Party Mortgages Sept. 2008
-Sub-adviser Conflicts of Interest Dec. 2011
Nov. 2012
-Sunsetted or Terminated Relief Orders Nov. 2007
Managed Accounts
-Inter-Fund Trades with Pooled Funds and Managed Accounts Sept. 2008
-Secondary Managed Accounts and Pooled Funds July 2015
Dec. 2011
Nov. 2012
Margin Deposit Relief May 2013
Mergers and Reorganizations
-Disclosing Tax Consequences Sept. 2016
-Inter-Fund Trades and Reorganizations Sept. 2008
-Merger Costs Apr. 2007
-Mergers and Reorganizations Jan. 2010
-Performance Fees and Mutual Fund Reorganizations Mar. 2014
-Representations in Merger Approval Decisions July 2014
NAV Calculation Relief May 2011
Notice-and-Access Procedures for Securityholder Meetings Relief Dec. 2016
Past Performance Data Nov. 2012
Pre-Authorized Purchase Plans and Prospectus Delivery Relief March 2014
Prospectus Delivery Relief
- Automatic Switching Programs with Fee Reductions Dec. 2015
-Pre-Authorized Purchase Plans Mar. 2014
Split Shares
- Relief from s.119 May 2011
- Secondary Offerings May 2011
CONTINUOUS DISCLOSURE
Accessibility of CD Documents on Websites May 2013
Advertising Review Nov. 2012
Awards in Sales Communications July 2015
Bullion Funds May 2013
CICA Handbook Section 3855 April 2007
Nov. 2007
Continuous Disclosure Review Program April 2007
Exchange-Traded Funds
- Liquidity/Designated Brokers March 2014
- Portfolio Disclosure Practices of Exchange-Traded Funds Dec. 2016
Financial Statements Filed Before Filing Deadline Dec. 2011
Fixed Income Volatility Mar. 2014
Fund Facts – Risk Ratings Nov. 2013
Fund-of-Funds Disclosure of Fees and Expenses Sept. 2016
High Management Expense Ratios (MER) July 2014
International Financial Reporting Standards (IFRS)
- CSA Staff Notice 52-320 Disclosure of Expected Changes in Accounting
Policies Relating to Changeover to IFRS
Sept. 2008
- IFRS Implementation July 2014
- IFRS-related amendments to National Instrument 81-106 Investment Fund
Continuous Disclosure
Nov. 2013
- IFRS Release No. 1 Nov. 2014
- IFRS Release No. 4 Dec. 2015
Liquidity
- Asset Classes Susceptible to Liquidity Concerns Nov. 2014
- Risk Management Sept. 2016
NI 81-107 Related Disclosure Reviews Jan. 2010
May 2011
Portfolio Disclosure
- Portfolio Disclosure of Cash Mar. 2014
-Portfolio Disclosure Practices of Exchange-Traded Funds

Dec. 2016

- Portfolio Disclosure Review Apr. 2012
- OSC Staff Notice 81-717 Report on Staff’s Continuous Disclosure Review
of Portfolio Holdings by
Investment Funds
Nov. 2012
Scholarship Plan Practices Dec. 2016
Senior Loans Nov 2014
Split Shares - MER Disclosure Jan. 2010
Yield/Income Funds April 2012
FUND FACTS
Blacklined Fund Facts Nov. 2013
Converting Funds Dec. 2011
Disclosure of Expected Mergers in Fund Facts Dec. 2011
Disclosure of Separately Negotiated Fees Dec. 2011
Early Delivery of Fund Facts Dec. 2011
FAQs – Stage 1 of the Point of Sale Initiative May 2011
Fund Codes Dec. 2011
Past Performance Presentation April 2015
Risk Methodology May 2011
-Prospectus Disclosure Dec. 2011
-CSA Mutual Fund Risk Classification Methodology June 2017
-CSA Notice 81-324 and Request for Comments Proposed CSA Mutual Fund
Risk Classification Methdology for Use in Fund Facts
Mar. 2014
Risk Ratings Review Apr. 2012
Nov. 2013
Stage 2 of the Point of Sale Disclosure Initiative March 2014
Transition Period for Filing ETF Facts June 2017
INDEPENDENT REVIEW COMMITTEES (IRCS)
Changes to IRC Composition Nov. 2012
Consideration of Different Securityholder Interests Dec. 2016
IRC Reporting under Section 4.5 of NI 81-107 Sept. 2016
MARKETING PRACTICES
Cooperative Marketing Practices April 2012
PROCESS MATTERS
90 Day Filing Requirement Jan. 2010
May 2011
Closure of Outstanding Files April 2012
E-forms for Filing NI 45-106 Reports Nov. 2012
Mandatory Electronic Delivery of Documents March 2014
Materiality Thresholds for Repayments to Investors July 2014
Materials to be Filed with Exemptive Relief Applications Sept. 2016
NP 11–203 Process for Exemptive Relief Applications Sept. 2008
Preliminary Prospectus Receipt Process Sept. 2008
Prospectus Amendments - Historical Information Nov. 2012
Prospectus Receipt Timing Jan. 2010
Review Process Upon Clearing for Final Filing July 2014
Transition of Investment Funds to Corporate Issuer Status Dec. 2015
PROSPECTUSES
Advertising During Waiting Period Nov. 2007
Auditor Consents Jan. 2010
Best Efforts Offerings Jan. 2010
Bulleted Placeholders Nov. 2012
March 2014
Nov. 2014
Character Conversion Transactions May 2013
Closed End Funds - Annual Redemption at NAV Nov. 2007
Closed End Funds - Exposure to Foreign Non-reporting Issuer Investment Funds April 2012
Closed End Funds - Form 41-101F2 – Form Compliance Reviews Sept. 2008
Closed End Funds - OSC Staff Notice 81-714 Compliance with Form 41-101F2 May 2011
Closed End Funds - Performance Data of Related Funds Nov. 2007
Closed End Funds – Recent Amendments to NI 81-102 April 2015
July 2015
Closed End Funds – Recirculation Agreements Nov. 2013
Closed End Funds – Redemption Price Nov. 2014
Consultants Jan. 2010
Cover Page Images Nov. 2012
CSA Mutual Fund Risk Classification Methodology June 2017
Currency Hedged Class or Series Sept. 2016
Currency Hedging in Investment Objectives Nov. 2014
Custodian Requirements Sept. 2008
Disclaimers of Liability for Third Party Information May 2013
Disclosure of Management Fees June 2017
Distributions
-Default Mutual Fund Distributions Apr. 2015
-Fixed Rate Distribution Series July 2015
DSC Switches April 2007
Exchange Options March 2014
ETFs - ETFs that Track an Index April 2012
ETFs - Multiple ETF Prospectuses Dec. 2011
ETFs - OSC Staff Notice 81-715 Cross Listings by Foreign ETFs Dec. 2011
ETFs - Portfolio Transparency April 2012
ETFs – Redemption Price of Securities April 2015
Fees - Counterparty Hedging Fees Apr. 2012
Fees - Default Rate Feature – Direct Payment of Ongoing Dealer Service Fees July 2014
Fees – Fee-Based Series with Dual Dealer Compensation Nov. 2014
Fees - Fixed Administration Fees - Adjustment Payments Nov. 2012
Fees - Forward Fees May 2011
Fees - Incorrect Fee Disclosure April 2012
Fees - Management Fee Disclosure Dec. 2011
Fees - Short-Form Prospectuses May 2013
Flow Through LPs – Dual Class Structures April 2015
Flow Through LPs - Finder’s Fees March 2014
Flow Through LPs - Performance Data of Related Funds Nov. 2007
May 2013
March 2014
Flow Through LPs - Rollovers April 2007
Jan. 2010
Form 41-101F2 – Form Compliance Reviews Sept. 2008
Fund Names
-Consistency with Investment Objectives Apr. 2012
-Use of “Index” July 2015
IFIC Risk Classification Guidelines Apr. 2007
Index Funds Nov. 2012
Investment Funds Offering Currency Hedged Class or Series Sept. 2016
Investment Objectives
-Currency Hedging Nov. 2014
-Fund of Funds Nov. 2012
-Fund Names Apr. 2012
-Index Funds Nov. 2012
-Use of “Index” July 2015
Investments in Mortgages by Investment Funds May 2013
IRC Compensation July 2015
Lapse Dates Jan. 2010
Dec. 2011
Minimum and Maximum Offering Amounts Nov. 2014
Mutual Funds Currently Investing in Closed-End Funds July 2015
OSC Staff Notice 81-714 Compliance with Form 41-101F2 May 2011
OSC Staff Notice 81-715 Cross Listings by Foreign ETFs Dec. 2011
OSC Staff Notice 81-719 Effect of Proposed Income Tax Act Amendments on
Investment Funds – Character
Conversion Transactions
May 2011
PIFs for CCOs May 2011
Prepaid Forwards Dec. 2011
Principal Holders of Securities Nov. 2013
Prospectus Review Priorities July 2015
Recirculation Agreements Nov. 2013
Redemption
-Closed-End Fund Annual Redemption at NAV Nov. 2007
-Closed-End Fund Securities Nov. 2014
-ETF Securities Apr. 2015
-Suspension of Redemptions for Short-Term Trading July 2014
-T+2 Settlement Cycle for European Securities Nov. 2014
Scholarship Plans
-Certificate of Annual Compliance with the Undertaking Dec. 2016
-Marketing Materials Nov. 2013
-Undertaking May 2013
-Up-Front Commission Structure Dec. 2015
Securities Lending – Disclosure Nov. 2014
Short Form Prospectuses
-Earnings Coverage Ratios in Short Form Prospectuses June 2017
-Fee Disclosure in Short Form Prospectuses May 2013
-Use of Short Form Prospectuses May 2011
Split Share Companies – Offering Expenses Apr. 2015
Trailing Commissions
-Trailing Commissions and Discount Brokerages Dec. 2011
-Trailing Commissions Based on Percentage of Performance Fee Sept. 2008 Two-tiered Funds Sept. 2008
-Continuous Disclosure Undertakings Jan. 2010
-Top and Bottom Fund Prospectuses Jan. 2010
Unit Offerings and Calculation of Diluted NAV Jan. 2010
Use of “Guarantee” Nov. 2013
Use of “Index” in Investment Names and Objectives July 2015
Warrant Offerings Sept. 2008
April 2012
Yield Disclosure Jan. 2010
Yield/Income Funds April 2012
PUBLIC INQUIRIES
Index Participation Units - Definition May 2011
Inter-fund Trades – Market Integrity Requirements for Non-Exchange-Traded Securities Sept. 2008
Investment Funds - Definition Nov. 2012
Rehypothecation of Collateral for OTC Derivatives April 2015
Related Party Underwritings of Approved Rating Debt Jan. 2010
RECENT DECISION
In the Matter of Crown Hill Capital Corporation and Wayne Lawrence Pushka Nov. 2013
REPORTS
Guidance on Mutual Fund Sales Practices Dec. 2016
OSC Staff Notice 81-723 Summary Report for Investment Fund Issuers March 2014
Publication of Final Harmonized Report of Exempt Distribution Sept. 2016
STRUCTURED PRODUCTS
Autocall Notes Disclosure July 2014
Frequently Asked Questions - Structured Notes
Distributed under the Shelf Prospectus System
Sept. 2016
Pricing Supplements Nov. 2012
Reference Asset Fee Disclosure July 2014
Shelf Prospectuses Apr. 2007