Home » Online Help » How do I create an application, pre-filing or waiver application for an investment fund or investment fund group?

How do I create an application, pre-filing or waiver application for an investment fund or investment fund group?

Application, pre-filing or waiver application filings for an investment fund or investment fund group need to be initiated from the investment fund manager (IFM) profile. An IFM may have a Third-Party Filer or a Company profile.  Always answer ‘Yes’ to the question ‘Is this application for more than one profile?’ to add the investment funds and, if applicable, the investment fund group that are part of the filing. This is to ensure that the filing and a record of action are added to the IFM, investment fund and investment fund group profile. Regarding the pre-filings for prospectus, they need to be initiated from the investment fund group or investment fund profile.  The IFM profile also needs to be part of the filing as an added profile.  Always answer “Yes” to the question “Is this application for more than one profile?” to add the IFM profile, which may be a Third-Party Filer or a Company profile. This is to ensure that the pre-filing and a record of action are added to the investment fund group, investment fund and IFM profile. Note that if an Application, Pre-Filing or Waiver applies to more than one profile, that filing will only be searchable under the main profile for which it was created. 

Last updated on: March 28, 2024


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