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(August 19, 1997)

Words from the Securities Regulatory Authorities

Composition of a Mutual Fund Group

As stated in section 6.3(a)(I) of the Filer Manual, a Mutual Fund Group profile will consist of mutual funds with 'a common manager', that otherwise have their affairs conducted in a similar manner and that qualify their securities for distribution by filing a single common prospectus. Therefore, a Mutual Fund Group profile on SEDAR should only consist of funds that are included in a single prospectus, while those funds that have a common manager or distributor, but are distributed under a separate prospectus should form a separate Mutual Fund Group on SEDAR.

Completion of Fee Information

As stated in Section 8.3(k) of the Filer Manual, after selecting a securities regulatory authority in the 'Agency' box, the amount of fee must be entered in the 'Amount' column beside the appropriate fee description for each securities regulatory authority to which CSA filing fees are payable and for each issuer separately if there is more than one issuer involved in the filing. (This is often the case for certain filings such as a Simplified Prospectus and Annual Information Form for a mutual fund group.)

When to use the 'Annual Filing' filing type

The 'Annual Filing' filing type is to be used when filing either a Form 28 or Form 26 filing as applicable in cases where a reporting issuer is not required to send an information circular. It is not to be used for the filing of annual financial statements, annual reports or management proxy materials by reporting issuers since the corresponding filing types for each of these filings should be used. (See section 9.14 of the Filer Manual.)

Filing of National Policy Statement #39 Applications on SEDAR

All National Policy Statement #39 applications for approval should be filed using the filing type of 'Applications (NPS 39)' whether or not it is being filed at the same time as a prospectus filing. If the application does relate to a prospectus filing, then this should be identified in the cover letter filed with the application.

Québec Filings

We would like to remind filers that the following Québec Filings must be done in electronic format in accordance with section 2.2 of the National Instrument 13-101:

  • Prospectus-Distribution outside Québec (QC sec. 12 Act)
  • Exchange of Securities - Merger or Reorganization (QC sec. 50 Act)

Those filing are located under the Securities Offerings category of filings for the Other Issuers category of filer.

Documents Incorporated by reference

We would like to remind the electronic filer that as noted under section 9.3 of the SEDAR Filer Manual, it is not necessary to refile with a prospectus filing, the continuous disclosure document already filed under 'Continuous Disclosure' categories. Please note that the Securities Commission will not consider the filing of a continuous disclosure document with a prospectus filing as fulfilling the requirements for a continuous disclosure document to be filed under the 'Continuous Disclosure' categories.

Logo on Letterhead

If a logo is omitted from a document filed in electronic format, the filer must ensure that the author of that document is identified in the electronic format version of the document.

Principle Jurisdiction

We would like to remind filers of the importance of identifying a 'Principal Jurisdiction' on the 'Recipient Agencies' screen at the time of the initial submission when applicable. The principal jurisdiction should be identified by selecting the box in the 'Principal' column next to the agency name in 'Recipient Agencies' screen, for purposes of National Policy Statement No. 1 ('prime') or as a 'designated jurisdiction' for purposes of expedited review.

Auto Dates

Please do not use 'auto dates' i.e. date as a field in any SEDAR documents as this will result in the date of the document changing to the date when the document is opened and viewed in any word processing software.

MS Word 6.0/95 Binary Converter for Word 97

A new Word 6.0/95 Binary Converter for Word 97 is available. It allows MS Office 97 - MS Word 97 documents to be backsaved in a true binary file format with a .doc extension. The original Word 6.0/95 converter that was shipped with Microsoft Office 97 saved Word 97 documents as Rich Text Format (RTF). Only MS Word files saved in true Word 6.0/95 binary format are acceptable as documents within the SEDAR filing system. Before you use MS Office 97 - MS Word 97 to save files in Word 6.0/95 format, ensue that this converter has been applied to your MS Office 97 - MS Word 97 program, or that your version of MS Office 97 - MS Word 97 supports this correct conversion. (

If you have any questions about the above, please refer to the Filer Manual. Should you require clarification, contact the securities regulatory authorities.

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