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ARTICLE · 08 DECEMBER 2017

Calling All Fund Managers: January 30, 2018 Is Closer Than You Think!

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Managers of investment funds that have issued securities to Canadian residents during 2017 under certain prospectus exemptions should circle Tuesday, January 30, 2018 in red ink on their compliance calendars.

CanadaCorporate/Commercial Law
Rebecca Cowdery
Rebecca Cowdery
Roma Lotay
Roma Lotay
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Managers of investment funds that have issued securities to Canadian residents during 2017 under certain prospectus exemptions should circle Tuesday, January 30, 2018 in red ink on their compliance calendars. This is the deadline for investment funds to file a Report of Exempt Distribution, using Form 45-106F1, without penalty, for private placements completed between January 1, 2017 and December 31, 2017. If a fund has issued securities to investors using any of the following prospectus exemptions set out in National Instrument 45-106 Prospectus Exemptions and section 73.3 of the Securities Act (Ontario): (i) the accredited investor, (ii) minimum purchase amount, or (iii) additional investment in investment funds, and it has not filed a Report of Exempt Distribution within 10 days of each such trade, then the fund must file such a report for all of calendar 2017 by January 30, 2018.

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