Creating a profile
Profile access
Since new profiles are public on creation, how do I keep a profile private until the public filing is ready to be submitted?
The status of a SEDAR+ profile is public as soon as it is submitted and approved, even if a public filing has not yet been submitted against it.
If you do not want the profile to be made public until the public filing is made, you could create the profile and save it as draft. When the filing is ready to be submitted, you could then submit the profile, immediately followed by the filing. For a profile that is required for an IPO, read How do I create a profile for IPO purposes, and ensure the profile is private?
Can a public profile be turned private?
Yes, under rare circumstances. To change the access status of a profile from public to private, a person or company should submit a written request to the Service Desk at sedarplus@csa-acvm.ca. The securities regulatory authority or regulator will generally not change the access status of a profile from public to private until the request has been reviewed, and a decision has been made in favour of the person or company.
Filers should note that changing the access status of a profile from public to private in SEDAR+ does not necessarily remove the profile from the public domain. For example, various search engines may continue to index the profile, notwithstanding that we have changed the access status of the profile to private in SEDAR+. We do not assist filers in removing profiles from the public domain.
Profiles filed with us may also be subject to disclosure under freedom of information legislation.
Third party profiles
Should I create a company or a third party profile for an investment fund manager?
You should create a company profile if the investment fund manager is also an issuer. Otherwise, create a third party-organization profile.
Should I create a separate third party filer profile to make a third party filing if the issuer already has an existing profile?
No, it is not necessary to create a separate third party filer profile in this circumstance. All third party filings will be available to all filer profile types.
An entity has become a reporting issuer after having filed as a third party filer profile. Should I create a new profile?
No. You can convert the third party filer profile to a company or investment fund.
Read: Convert a third party filer profile to be a company or investment fund profile
I am a non-reporting issuer. Do I need to create a profile in order to make a filing on SEDAR+?
Yes.
What information is public on a third party filer profile for an individual?
The following information is public:
- Regulatory actions
- Full legal name
- Effective from date *
- Other name(s)
- Previous name(s)
- Effective up to date *
- Name identified by Regulator
*Note the ‘Effective from date’ pertains to the date the name was changed, if applicable. The individual’s date of birth should not be entered as this is publicly displayed.
Can I convert one profile type into another profile type?
Yes. It is possible to convert two of the profile types as follows:
| From Profile Type | To Profile Type |
|---|---|
| Third party filer | Company or investment fund |
| Industry participant | Company or investment fund or third party filer |
Read:
Investment funds
Why are there two profiles with the same name?
If your search results display a company and a third party filer profile for the same party, the company profile is the official profile of the party.
The third party filer profile was created in SEDAR for the purposes of filing a third party filing against another party.
What is the working list of classes or series offered via prospectus in the investment fund group profile?
The working list of classes or series offered via prospectus allows for the preparation of a new class or series at the group level in anticipation of future filings requiring pre-population of class or series from the group. Users can add a new class or series on the list by maintaining the investment fund group.
What profile type does a stand-alone investment fund (that had an ‘Other Issuer’ profile in SEDAR) have in SEDAR+?
A stand-alone investment fund that used the ‘Other Issuer’ profile in SEDAR will have an ‘Investment Fund’ profile in SEDAR+.
What category of investment fund should be selected on the investment fund’s profile?
Below is a summary of each investment fund category to assist in the correct selection,
Conventional Mutual Fund
Mutual funds that are not alternative mutual funds or ETFs are commonly known as conventional mutual funds.
These funds are considered mutual funds and are typically offered using a simplified prospectus.
Hybrid
Hybrids are simplified prospectus qualified mutual funds with mutual fund series together with ETF series.
These funds are considered mutual funds and are typically offered using a simplified prospectus but can also be offered using a long form prospectus.
Alternative Mutual Fund
means a mutual fund, other than a precious metals fund, that has adopted fundamental investment objectives that permit it to invest in physical commodities or specified derivatives, to borrow cash or engage in short selling in a manner not permitted for other mutual funds under NI 81-102.
These funds are considered mutual funds and are typically offered using a simplified prospectus.
Alternative Hybrid
Hybrids are simplified prospectus qualified mutual funds with mutual fund series together with ETF series that meet the definition of an alternative mutual fund/alternative ETF.
These funds are considered mutual funds and are typically offered using a simplified prospectus but can also be offered using a long form prospectus.
Exchange Traded Funds (ETF)
A mutual fund that is exchange-traded.
These funds are considered mutual funds and are typically offered using a long form prospectus.
Alternative ETF
an ETF that satisfies the definition of an “alternative mutual fund.”
These funds are considered mutual funds and are typically offered using a long form prospectus.
Split Share Corp.
A prospectus fund that offers two distinct classes of shares: Class A shares and Preferred shares. They typically invest in an underlying portfolio of dividend paying securities. Generally, the Class A shares capture the movements of the underlying securities, and the Preferred shares receive fixed periodic payments.
These funds are in some cases mutual funds and are typically offered using a long form, short form or shelf prospectus.
Labour Sponsored or Venture Capital Fund (NI 81-106)
means an investment fund that is,
- a labour sponsored investment fund corporation or a labour sponsored venture capital corporation under provincial legislation,
- a registered or prescribed labour sponsored venture capital corporation as defined in the ITA
- an EVCC, or
- a VCC.
EVCC means an employee venture capital corporation that does not have a restricted constitution, and is registered under Part 2 of the Employee Investment Act (British Columbia), R.S.B.C. 1996 c. 112, and whose business objective is making multiple investments.
VCC means a venture capital corporation registered under Part 1 of the Small Business Venture Capital Act (British Columbia), R.S.B.C. 1996 c. 429, whose business objective is making multiple investments.
These funds are typically offered using a long form prospectus.
Non-Redeemable Investment Fund (NRIF) (also called closed-end funds)
means an issuer,
- whose primary purpose is to invest money provided by its securityholders,
- that does not invest,
- for the purpose of exercising or seeking to exercise control of an issuer, other than an issuer that is a mutual fund or a nonredeemable investment fund, or
- for the purpose of being actively involved in the management of any issuer in which it invests, other than an issuer that is a mutual fund or a non-redeemable investment fund, and
- that is not a mutual fund
These funds are typically offered using a long form prospectus.
Development Capital Investment Fund (Québec only)
Investment funds that are reporting issuers constituted under the following Acts:
- an Act constituting Capital régional et coopératif Desjardins (chapter C-6.1);
- an Act to establish Fondaction, le Fonds de développement de la Confédération des syndicats nationaux pour la coopération et l’emploi (chapter F-3.1.2); and
- an Act to establish the Fonds de solidarité des travailleurs du Québec (F.T.Q.) (chapter F-3.2.1).
These funds are typically offered using a short form prospectus.
Flow Through LP
A prospectus fund that invests in a portfolio of flow-through shares of certain issuers in order to generally achieve capital appreciation and tax benefits for its investors.
These funds are offered using a long form prospectus.
Scholarship Plan (as defined in NI 81-106)
means an arrangement under which contributions to education savings plans are pooled to provide scholarship awards to designated beneficiaries.
Scholarship Plans are not the same as Target Date Funds. Scholarship Plans are offered using Detailed Plan Disclosure and Plan Summary documents.
Other
Choose only if the investment fund has unique features that do not fit within one of the other categories.
Please note that the fees for certain filings, in certain jurisdictions, vary depending on if the category of fund is considered a mutual fund. Selecting the wrong category of investment fund may result in SEDAR+ charging incorrect fees. Refer to the definition of a mutual fund in your local jurisdiction’s legislation.
Profile information
When should I select ‘Pending’ in the ‘Reporting issuer?’ field?
You should select ‘Pending’ if the company or investment fund is in the process of submitting documents, such as a prospectus, that could lead to the issuer becoming a reporting issuer. If you select ‘No’ in the ‘Reporting issuer?’ field, the prospectus filing types will not be available for selection.
What is an Exchangeable Security issuer or Credit Support issuer?
Definitions for Exchangeable Security and Credit Support issuer are provided in National Instrument 51-102 Continuous Disclosure Obligations sections 13.3 and 13.4.
If you rely on the exemption prescribed by section 13.3 or 13.4 of the National Instrument 51-102, a notice must be filed in the “Annual financial statements” and “Interim financial statements” filings, and the document type to select is the “Notice of reliance”.
How do I determine the issuer’s North American Industry Classification Standard (NAICS) code?
Refer to the 2017 Statistics Canada’s NAICS search tool to find a NAICS code that is appropriate for the issuer. If the issuer has identified a NAICS code for its business that is not found on the 2017 NAICS list, or if the issuer is a CPC company that has not yet done a Qualifying Transaction (QT), you should use the appropriate 6-digit code that most closely matches the issuer’s primary business activity.
New profiles
When creating a new profile in SEDAR+, I discover it already exists in the system. How should I proceed?
In certain cases, the profile you are creating may already exist in the system. If this is the case, you can request authority over the profile. For more information, read ‘Request authority for an existing profile’ under ‘Profile authority’.
I am a filing agent, and I have already submitted an EFA on behalf of our organization. Why do I need to submit an EFA for the profile?
An Electronic Filer Agreement (EFA) must be provided when a company or third party filer profile is created by a filing agent. The profile’s EFA is the agreement between the Alberta Securities Commission (the ‘ASC’) and the undersigned Electronic Filer (profile) for the use of SEDAR+ for the purpose of enabling and facilitating compliance with applicable securities legislation in Canada. The EFA submitted on behalf of your organization is your organization’s agreement with the Alberta Securities Commission and permits all associated users access to, and use of, SEDAR+.
How do I create a profile for IPO purposes, and ensure the profile is private?
Before proceeding to create an IPO profile in SEDAR+, you must send a pre-requisite email to the SEDAR+ Service Desk notifying them of your intention to create an IPO profile in SEDAR+.
- Click on the link to access the prescribed email template.
- The subject line must read ‘IPO Profile Creation in SEDAR+’, and the email must be sent using your primary business email address.
- Once the email is sent, contact the Service Desk at 1-800-219-5381 to inform them of your email request.
- Finally, proceed to create your profile in SEDAR+. Refer to Create a profile in SEDAR+.
- Upon successful approval of your profile in SEDAR+, you will receive an automated email notification confirming your profile creation; as well as an email from the Service Desk confirming that your profile status is ‘private’.
Last updated on: July 17, 2025