Securities Law

81-102CP - Mutual Funds [CP - Rescinded]

Published Date: 2005-05-25
Effective Date: 2005-06-01
Rescinded Date: 2006-11-03
Document(s):

Concurrently Published:

Table of Contents

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

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] 

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”