8 - Mutual Funds

81-102CP Mutual Funds [CP - Rescinded]
Published September 25, 2009
Effective September 28, 2009
Rescinded/Lapsed January 1, 2011
 View PDF of 81-102CP PDF 

Concurrently Published

   Table of Contents   

       

  PART          TITLE  

       

  PART 1      PURPOSE  

  1.1              Purpose  

     

  PART 2      COMMENTS ON DEFINITIONS CONTAINED IN THE INSTRUMENT  

  2.1              “asset allocation service”  

  2.2              “cash equivalent”  

  2.3              “clearing corporation”  

  2.4              “debt-like security”  

  2.5              “fundamental investment objectives”  

  2.6              “guaranteed mortgage”  

  2.7              “hedging”  

  2.8              “illiquid asset”  

  2.9              “manager”  

  2.10            “option”  

  2.11            “performance data”  

  2.12            “public medium”  

  2.13            “purchase”  

  2.14            “restricted security”  

  2.15            “sales communication”  

  2.16            “specified derivative”  

  2.17            “standardized future”  

  2.18            “swap”  

     

  PART 3      INVESTMENTS  

  3.1              Evidences of Indebtedness of Foreign Governments and Supranational Agencies  

  3.2              Index Mutual Funds  

  3.3              Special Warrants  

  3.4              Investment in Other Mutual Funds  

  3.5              Instalments of Purchase Price  

  3.6              Purchase of Evidences of Indebtedness  

  3.7              Securities Lending, Repurchase and Reverse Repurchase Transactions  

  3.8              Prohibited Investments  

     

  PART 4      USE OF SPECIFIED DERIVATIVES  

  4.1              Exercising Options on Futures  

  4.2              Registration Matters  

  4.3              Leveraging  

  4.4              Cash Cover  

     

  PART 5      LIABILITY AND INDEMNIFICATION  

  5.1              Liability and Indemnification  

  5.2              Securities Lending, Repurchase and Reverse Repurchase Transactions  

     

  PART 6      SECURITYHOLDER MATTERS  

  6.1              Meetings of Securityholders  

  6.2              Limited Liability  

  6.3              Calculation of Fees  

     

  PART 7      CHANGES  

  7.1              Integrity and Competence of Mutual Fund Management Groups  

  7.2              Mergers and Conversions of Mutual Funds  

  7.3              Regulatory Approval for Reorganizations  

  7.4              [Deleted]  

  7.5              Circumstances in Which Approval of Securityholders Not Required  

  7.6              Change of Auditor  

  7.7              Connection to NI 81-107  

     

  PART 8      CUSTODIANSHIP OF PORTFOLIO ASSETS  

  8.1              Standard of Care  

  8.2              Book-Based System  

  8.3              Compliance  

     

  PART 9      CONTRACTUAL PLANS  

  9.1              Contractual Plans  

     

  PART 10    SALES AND REDEMPTIONS OF SECURITIES  

  10.1            General  

  10.2            Interpretation  

  10.3            Receipt of Orders  

  10.4            Backward Pricing  

  10.5            Coverage of Losses  

     

  PART 11    COMMINGLING OF CASH  

  11.1            Commingling of Cash  

     

  PART 12    [Deleted]  

     

  PART 13    PROHIBITED REPRESENTATIONS AND SALES COMMUNICATIONS  

  13.1            Misleading Sales Communications  

  13.2            Other Provisions  

     

  PART 14    [Deleted]  

     

  PART 15    SECURITYHOLDER RECORDS  

  15.1            Securityholder Records  

     

  PART 16    EXEMPTIONS AND APPROVALS  

  16.1            Need for Multiple or Separate Applications  

  16.2            Exemptions under Prior Policies  

  16.3            Waivers and Orders concerning “Fund of Funds”