Regulatory Alerts2021-05-20
Draft Regulation to amend Regulation 81-101 respecting Mutual Fund Prospectus Disclosure
The securities regulator amends Regulation 81-101 to update definitions related to mutual fund prospectus disclosure forms. The changes replace references to the Aequitas exchange with NEO Exchange Inc., specifically updating the definition of the personal information form to require the NEO personal information form. These amendments align regulatory requirements with the current operational standards of the NEO Exchange.
REGULATION TO AMEND REGULATION 81-101 RESPECTING MUTUAL FUND PROSPECTUS DISCLOSURE Securities Act (chapter V-1.1, s. 331.1, par. (34))
- Section 1.1 of Regulation 81-101 respecting Mutual Fund Prospectus Disclosure (chapter V-1.1, r. 38) is amended: (1) by replacing the definition of the expression “Aequitas personal information form” with the following: ““NEO personal information form” means a personal information form for an individual prepared pursuant to NEO Exchange Inc. Form 3, as amended from time to time;”; (2) by replacing, in the definition of the expression “personal information form”, paragraph (c) with the following: “(c) a completed NEO personal information form submitted by an individual to NEO Exchange Inc., to which is attached a completed certificate and consent in the form set out in Schedule 1 – Part B of Appendix A to Regulation 41-101 respecting General Prospectus Requirements;”;
- This Regulation comes into force on (indicate here the date of coming into force of this Regulation).
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