Raymond Chan

The applicant applied for exemptive relief on behalf of existing and future investment funds it manages.

The relief sought an exemption from the requirement under NI 81-106 to send an information circular to each registered securityholder whose proxy is solicited, allowing the funds to use a Notice-and-Access Document instead.

The Ontario Securities Commission granted the exemption, subject to conditions ensuring securityholders maintain access to the same quality of disclosure material and can request printed copies if desired.

The applicant, an investment fund manager, applied for exemptive relief from the requirement under National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

The applicant sought to use a Notice-and-Access Document instead, similar to the procedure available to corporate finance issuers under NI 51-102 and NI 54-101.

The Ontario Securities Commission granted the exemption, subject to numerous conditions regarding the content, timing, and delivery of the Notice-and-Access Document and related materials.

Purpose Investments Inc. applied for exemptive relief on behalf of existing and future investment funds it manages.

The applicant sought an exemption from the requirement under National Instrument 81-106 to send an information circular to each registered securityholder whose proxy is solicited, proposing instead to use a notice-and-access procedure similar to that available to corporate finance issuers under National Instruments 51-102 and 54-101.

The Ontario Securities Commission granted the exemption, subject to extensive conditions ensuring securityholders receive a Notice-and-Access Document and retain the ability to request printed materials without charge.

The applicant, First Asset Investment Management Inc., applied for exemptive relief on behalf of existing and future investment funds it manages.

The applicant sought an exemption from the requirement under National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

Instead, the applicant requested permission to use a notice-and-access procedure similar to that available to corporate finance issuers under National Instruments 51-102 and 54-101.

The Ontario Securities Commission granted the exemption, subject to numerous conditions regarding the content and delivery of the notice-and-access document, ensuring securityholders maintain access to the same quality of disclosure material.

The applicant applied for exemptive relief from the requirement under NI 81-106 to send an information circular to each registered holder of securities of an investment fund whose proxy is solicited.

The applicant sought to use the Notice-and-Access Procedure to send a Notice-and-Access Document instead.

The Ontario Securities Commission granted the exemption, subject to conditions, noting that the procedure is already permitted for corporate finance issuers and would not be detrimental to investor protection.

The applicant applied for exemptive relief on behalf of its investment funds from the requirement under NI 81-106 to send an information circular to each registered securityholder whose proxy is solicited.

The applicant sought to use the Notice-and-Access Procedure, similar to that available to corporate finance issuers under NI 51-102 and NI 54-101.

The principal regulator granted the exemption, subject to conditions ensuring securityholders receive a Notice-and-Access Document and retain the ability to request printed copies of the information circular.

The applicant, Sphere Investment Management Inc., applied for exemptive relief from the requirement under National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

The applicant sought to use a Notice-and-Access Procedure instead, similar to the procedure available to corporate finance issuers under National Instruments 51-102 and 54-101.

The Ontario Securities Commission granted the exemption, subject to conditions ensuring securityholders receive adequate notice and instructions on how to access the information circular.

The Filer, 1832 Asset Management L.P., applied for exemptive relief on behalf of existing and future investment funds it manages.

The application sought an exemption from the requirement in NI 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

Instead, the Filer requested permission to use a Notice-and-Access Procedure, similar to that available to corporate finance issuers under NI 51-102 and NI 54-101.

The Ontario Securities Commission granted the exemption, subject to numerous conditions ensuring securityholders receive adequate notice and maintain the ability to request printed copies of the information circular.

The applicant, an investment fund manager, applied for exemptive relief on behalf of existing and future investment funds it manages.

The requested relief was an exemption from the requirement under National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

Instead, the applicant sought to use a Notice-and-Access Document and Procedure, similar to what is permitted for corporate finance issuers under NI 51-102 and NI 54-101.

The Ontario Securities Commission granted the exemption, subject to numerous conditions regarding the content, timing, and delivery of the Notice-and-Access Document and related materials.

The applicant, Brompton Funds Limited, applied for exemptive relief from the requirement under National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

The applicant sought to use a Notice-and-Access Procedure similar to that permitted for corporate finance issuers under National Instruments 51-102 and 54-101.

The Ontario Securities Commission granted the exemption, subject to conditions ensuring securityholders receive a Notice-and-Access Document and retain the ability to request printed copies of the information circular.

The applicant, an investment fund manager, applied for exemptive relief on behalf of existing and future investment funds it manages.

The requested relief was an exemption from the requirement under paragraph 12.2(2)(a) of National Instrument 81-106 to send an information circular to each registered holder of securities whose proxy is solicited.

Instead, the applicant sought to use a Notice-and-Access Procedure to send a Notice-and-Access Document.

The Ontario Securities Commission granted the exemption, subject to numerous conditions regarding the content, timing, and procedure for sending the Notice-and-Access Document and providing access to the information circular.

The applicant, an investment fund manager, applied for exemptive relief on behalf of its mutual funds to permit them to invest in securities of exchange-traded funds that are not index participation units.

The requested relief included exemptions from the concentration restriction, control restriction, and restrictions on investing in certain other mutual funds and paying brokerage fees to related entities under National Instrument 81-102.

The Ontario Securities Commission granted the requested exemptions, subject to several conditions including concentration limits, prohibitions on short selling, and prospectus disclosure requirements.

Sprott Asset Management LP applied for exemptive relief on behalf of existing and future investment funds to use the Notice-and-Access Procedure instead of sending an information circular to each registered holder of securities whose proxy is solicited.

The Ontario Securities Commission granted the exemption, subject to conditions, noting that the procedure is already permitted for corporate finance issuers and would not be detrimental to the protection of investors.

The applicant, Mackenzie Financial Corporation, applied to the Ontario Securities Commission for exemptive relief on behalf of its investment funds.

The applicant sought an exemption from the requirement in National Instrument 81-106 to send an information circular to each registered securityholder when soliciting proxies.

Instead, the applicant requested permission to use a notice-and-access procedure, similar to the procedure available to corporate finance issuers under National Instrument 51-102 and National Instrument 54-101.

The Commission granted the requested relief, subject to several conditions ensuring that securityholders receive a notice-and-access document and can easily obtain a paper copy of the information circular upon request.

The Filer, RBC Global Asset Management Inc., applied for exemptive relief from certain provisions of National Instrument 81-102 Investment Funds on behalf of its mutual funds.

The relief sought to permit the funds to enter into cleared swaps, deposit cash and portfolio assets as margin with a Futures Commission Merchant, and exceed certain counterparty exposure limits.

The Ontario Securities Commission granted the requested relief, revoking and replacing previous relief, subject to specific conditions regarding margin deposits and regulatory oversight.

The applicant, an investment fund manager, applied for exemptive relief on behalf of several proposed exchange-traded funds (ETFs).

The requested relief included exemptions from the requirement to include an underwriter's certificate in the prospectus, the requirement to include a prescribed statement respecting purchasers' statutory rights, and the take-over bid requirements for persons purchasing ETF securities in the normal course.

The Ontario Securities Commission granted the requested exemptions, subject to conditions including the filing and delivery of a Summary Document or ETF Facts document.

The Filer applied for exemptive relief from the related issuer and consent restrictions under the Securities Act and National Instrument 31-103.

The relief was sought to allow the Pooled Funds to invest in Underlying Funds managed by the Filer or its affiliates, creating a Fund-on-Fund Structure.

The Ontario Securities Commission granted the requested exemptions, subject to conditions including that the securities are distributed solely to permitted clients and that no duplicative management or incentive fees are payable.

The Filer applied on behalf of the Fund for exemptive relief from the requirement to obtain prior securityholder approval before changing the fundamental investment objectives of the Fund under subsection 5.1(1)(c) of National Instrument 81-102.

The change was necessitated by amendments to the Income Tax Act eliminating the favourable tax treatment of character conversion transactions.

The Ontario Securities Commission granted the requested relief, provided the Filer sends written notice to securityholders at least 30 days before the effective date of the change.

Manulife Asset Management Limited applied for exemptive relief on behalf of existing and future investment funds it manages.

The requested relief sought an exemption from the requirement under National Instrument 81-106 to send an information circular to each registered securityholder whose proxy is solicited, allowing the funds to instead use a Notice-and-Access Document.

The principal regulator granted the exemption, subject to conditions ensuring securityholders maintain access to the same quality of disclosure material and can request printed copies without charge.

The Filer applied for exemptive relief from the requirement to obtain prior securityholder approval before changing the fundamental investment objectives of the Moneda Latam Corporate Bond Fund under subsection 5.1(1)(c) of National Instrument 81-102.

The change was necessitated by amendments to the Income Tax Act regarding character conversion transactions, which eliminated the tax efficiency of the Fund's forward agreement.

The Ontario Securities Commission granted the requested relief, provided the Filer sends written notice to securityholders at least 30 days before the change takes effect.