Acts and Regulations

S-5.5 - Securities Act

Section 143
Disposition versions

Full text
Filing by mutual fund managers
143(1)A mutual fund manager shall, in respect of each mutual fund to which the mutual fund manager provides services or advice and within the period prescribed by regulation, file a report, prepared in accordance with the regulations, of
(a) any purchase or sale of securities between the mutual fund and any related person,
(b) any loan received by the mutual fund from, or made by the mutual fund to, any of its related persons,
(c) any purchase or sale effected by the mutual fund through any related person with respect to which the related person received a fee either from the mutual fund or from the other party to the transaction or from both, and
(d) any transaction in which, by arrangement other than an arrangement relating to insider trading in portfolio securities, the mutual fund is a joint participant with one or more of its related persons.
143(2)The Commission may, on the application of the mutual fund manager of a mutual fund and where the Commission is of the opinion that it would not be prejudicial to the public interest to do so, order, subject to such terms and conditions as the Commission considers appropriate, that subsection (1) does not apply to any transaction or class of transactions.