Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 81-805 Subject: Mutual Fund Sales Practices Effective Date: March 17, 2008 Rule 81-805 Implementing National Instrument 81-105 Mutual Fund Sales Practices Part 1 Definitions 1.1 In this...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 81-806 Subject: Investment Fund Continuous Disclosure Effective Date: March 17, 2008 Rule 81-806 Implementing National Instrument 81-106 Investment Fund Continuous Disclosure Part 1...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Implementing Instrument Document No: 81-807 Subject: Independent Review Committee for Investment Funds Effective Date: March 17, 2008 Rule 81-807 Implementing National Instrument 81-107 Independent Review Committee for...
Securities Act R.S.P.E.I. 1988, Cap-S-3.1 Document Type: Blanket Order Document No: 31-503 Subject: Exemption from sections 3.6 and 3.14 of National Instrument 31-103 Registration Requirements and Exemptions for Chief Compliance Officers of Portfolio Managers Adding a Category...
In the matter of the Securities Act, R.S.P.E.I. 1988, Cap. S-3.1 Subsection 26(2) Whereas subsection 26(2) provides that the Superintendent may hold records or any class of records in confidence if the Superintendent considers that the records disclose intimate financial...