Skip Navigation
X
About
About BCSC
Who We Are
What We Do
Mission, Values & Benefits
Funding & Accountability
Governance
Privacy
Media Room
News Releases
Reports & Publications
Subscriptions
Weekly Reports
Careers
Events
Contact Us
Securities Law
Act, Regulations & Rules
Instruments & Policies
Instruments & Policies (prior to 2000)
National Policy Statements
Forms
BC Notices
Requests for Comment
Applying for an Exemption
Exemption Orders (2002 to present)
Exemption Orders (prior to 2002)
Industry
Issuer Regulation
Guidance by Sector
Reporting Issuers
Continuous Disclosure Obligations
Raising Capital
Filing & Fees
Registrant Regulation
Compliance Toolkit
Understanding Your BCSC Compliance Examination
Derivatives
Financial Technology & Innovation
Marketplaces, SROs & Market Infrastructure
Self Regulatory Organizations (SROs)
Exchanges
Market Infrastructure
Investor Protection Funds
Investor
Enforcement
Administrative Enforcement
Notices of Hearing and Temporary Orders
Settlements
Decisions
Automatic Reciprocal Orders
Administrative Sanctions
Returning Funds to Investors
Sanction Payment Status List
Disciplined List
Early Intervention
Investment Caution List
Halt Trade Orders
Investor Alert
Cease Trade Orders
Criminal Enforcement
Past Cases
Hearings
Hearings
About Hearings
Notices of Hearing
Hearing Schedule
Hearing Standards
Decisions
Hearing Resources
COVID-19 Procedures and Guidelines
Dissemination of COVID-19 Information
Hearing Procedures
Representing Yourself
Guidelines for Preparing Documents
Hearing FAQs
Resources
BCSC Resources
FAQs Database
Securities Law Basics
Do Securities Laws Apply to Me?
Overview of BC Securities Laws
Industry Resources
Securities Industry Links
Securities Training & Education
About
About BCSC
Who We Are
What We Do
Mission, Values & Benefits
Funding & Accountability
Governance
Privacy
Media Room
News Releases
Reports & Publications
Subscriptions
Weekly Reports
Careers
Events
Contact Us
News Releases
April 01, 2021 - News Releases
The Canadian Securities Administrators renew terms of Chair and Vice-Chair to 2022
March 31, 2021 - News Releases
Driving privileges at risk for those who don’t pay BCSC penalties
March 31, 2021 - News Releases
BCSC wins two legal victories in efforts to collect financial sanctions
Securities Law
Act, Regulations & Rules
Instruments & Policies
Instruments & Policies (prior to 2000)
National Policy Statements
Forms
BC Notices
Requests for Comment
Applying for an Exemption
Exemption Orders (2002 to present)
Exemption Orders (prior to 2002)
Popular Topics
Capital Raising
Compliance Deficiency
Compliance Examination
Resources
Act Regulations Rules
Instruments and Policies
Industry
Issuer Regulation
Guidance by Sector
Reporting Issuers
Continuous Disclosure Obligations
Raising Capital
Filing & Fees
Registrant Regulation
Compliance Toolkit
Understanding Your BCSC Compliance Examination
Derivatives
Financial Technology & Innovation
Marketplaces, SROs & Market Infrastructure
Self Regulatory Organizations (SROs)
Exchanges
Market Infrastructure
Investor Protection Funds
Popular Topics
Filing & Fees
Instruments and Policies
Exemption Orders
eServices
Hearings
Investor
Enforcement
Administrative Enforcement
Notices of Hearing and Temporary Orders
Settlements
Decisions
Automatic Reciprocal Orders
Administrative Sanctions
Returning Funds to Investors
Sanction Payment Status List
Disciplined List
Early Intervention
Investment Caution List
Halt Trade Orders
Investor Alert
Cease Trade Orders
Criminal Enforcement
Past Cases
Most Recent Decisions & Orders
April 08, 2021 - Cease Trade Orders
King George Financial Corporation [Cease Trade Order]
April 08, 2021 - Cease Trade Orders
Siyata Mobile Inc. [Cease Trade Order]
Hearings
Hearings
About Hearings
Notices of Hearing
Hearing Schedule
Hearing Standards
Decisions
Hearing Resources
COVID-19 Procedures and Guidelines
Dissemination of COVID-19 Information
Hearing Procedures
Representing Yourself
Guidelines for Preparing Documents
Hearing FAQs
Popular Topics
Conducting Background Research
Compliance Examination
Criminal Enforcement
Upcoming Hearings
Resources
BCSC Resources
FAQs Database
Securities Law Basics
Do Securities Laws Apply to Me?
Overview of BC Securities Laws
Industry Resources
Securities Industry Links
Securities Training & Education
Popular Topics
Instruments and Policies
Disclosure
Disciplinary Action
X
Home
Securities Law
Law & Policy
Instruments & Policies
8 - Investment Funds
[current or historical]
[policy group]
[policy]
Securities Law
Find more about
Law & Policy
Close
Law & Policy
Act, Regulations & Rules
Instruments & Policies
1 - Procedure & Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements & Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers & Insiders
6 - Takeover Bids & Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
National Policy Statements (NPS)
Instruments & Policies (prior to 2000)
Historical Blanket Orders and Rulings (BOR)
Historical CSA Notices
Historical Local Policy Statements (LPS)
Historical Notices and Interpretation Notes (NIN)
Forms
Historical Forms
BC Notices
Requests for Comment
Applying for an Exemption
Research, Track & File Exemption Applications
Determine Application Type
Requirements for Local Exemption Application
Requirements for Relief under NP-11-203
Tips & Reminders
Avoiding Common Errors
Using Plain Language
After Submission
Exemptive Relief and Exemption Application Process FAQs
Exemption Orders (2002 to present)
Exemption Orders (Prior to 2002)
Law & Policy
Act, Regulations & Rules
Instruments & Policies
1 - Procedure & Related Matters
2 - Certain Capital Market Participants
3 - Registration Requirements & Related Matters
4 - Distribution Requirements
5 - Ongoing Requirements for Issuers & Insiders
6 - Takeover Bids & Special Transactions
7 - Securities Transactions Outside the Jurisdiction
8 - Investment Funds
9 - Derivatives
National Policy Statements (NPS)
Instruments & Policies (prior to 2000)
Historical Blanket Orders and Rulings (BOR)
Historical CSA Notices
Historical Local Policy Statements (LPS)
Historical Notices and Interpretation Notes (NIN)
Forms
Historical Forms
BC Notices
Requests for Comment
Applying for an Exemption
Research, Track & File Exemption Applications
Determine Application Type
Requirements for Local Exemption Application
Requirements for Relief under NP-11-203
Tips & Reminders
Avoiding Common Errors
Using Plain Language
After Submission
Exemptive Relief and Exemption Application Process FAQs
Exemption Orders (2002 to present)
Exemption Orders (Prior to 2002)
81-105 - Mutual Fund Sales Practices [NI]
Published Date:
2014-09-22
Effective Date:
2014-09-22
Document(s):
81-105 [NI], September 22, 2014
|
PDF
Concurrently Published:
81-102 - Investment Funds [NI - Lapsed] - For financial years beginning on or after January 1, 2014