Investment funds

The Ontario Securities Commission (OSC) regulates investment funds that sell securities in Ontario. An investment fund that sells securities in Ontario must comply with the applicable requirements of Ontario’s Securities Act and any related rules of the OSC.

The primary regulatory requirements applicable to investment funds that sell securities in Ontario cover four main areas:

prospectus offerings
fund operations
ongoing disclosure
marketing and sales

Many of these requirements vary depending on the type of investment fund.

Investment funds that do not sell securities to the public are generally subject to fewer regulatory requirements than investment funds that offer securities to the public.

Types of investment funds

Learn about the different types of investment funds, as many of the regulatory requirements for investment funds vary depending on the type of investment fund.

Prospectus offerings for investment funds in Ontario

In order to offer securities for sale to the public in Ontario, all investment funds must first submit a prospectus to the OSC for review.

Operating an investment fund in Ontario

Get an overview of the regulatory requirements relating to the day-to-day operations of investment funds in Ontario.

Ongoing disclosure requirements for investment funds in Ontario

All investment funds that operate in Ontario are subject to ongoing disclosure requirements.

Marketing and sales of investment funds

Learn about the regulatory requirements relating to marketing and sales activities of investment funds in Ontario.

Investment Management Brief

Read the Investment Management Brief for timely information about regulatory news and issues.