How do I add class/series to an investment fund prospectus?

To add a new class/series to an existing prospectus, you must use the ‘Maintain’ filing action. For an investment fund group filing, the new class/series must be on the Investment Fund Group profile before you are able to add the class/series on the filing. The new class/series must be on the Investment Fund Group profile before you are able to add the class/series on the filing. Click on How do I create/maintain the working list of classes/series for more detail. New subtypes and document types are now available in SEDAR+ and should be used when adding class/series to an investment fund as noted below. Add a class/series to all of the funds in a ‘Preliminary’ prospectusWhen you add a new class/series to all of the funds in a preliminary prospectus, you are amending the ‘Preliminary’ prospectus. The prospectus document should clearly indicate which class/series is being added. Select the new class/series and the class/series that was originally included in the preliminary prospectus from the class/series displayed. Select the subtype ‘Amendment to preliminary’ and document type ‘Amendment to (or amended) preliminary [type of prospectus]’ or for Simplified Prospectus, select the subtype ‘Amendment to preliminary or combined preliminary and pro forma’ and document type ‘Amendment to (or amended) preliminary simplified prospectus’. Complete certificates for amended and restated preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Amendment to Preliminary) or Receipt for Amendment to Preliminary Prospectus. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: AMENDED AND RESTATED PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] AMENDING AND RESTATING THE PRELIMINARY PROSPECTUS DATED [insert date] FOR [insert original fund(s)] Add a class/series to one of the funds in a preliminary prospectusWhen you add a new class/series to one of the funds in a preliminary prospectus, you are amending the preliminary prospectus and re-filing the original preliminary prospectus in one document. The prospectus document should clearly indicate which class/series is being added. Select the new class/series and the class/series that was originally included in the preliminary prospectus from the class/series displayed. Select the subtype ‘Amendment to preliminary’ and document type ‘Amendment to preliminary [type of prospectus] prospectus’. Complete certificates for amended and restated preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Amendment to Preliminary) or Receipt for Amendment to Preliminary Prospectus. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: AMENDED AND RESTATED PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert preliminary fund(s) which the new class/series is being added] [insert all class/series including class/series being added], AMENDING AND RESTATING THE PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert original date of Preliminary] FOR [insert original preliminary funds] [insert class/series] Add a class/series to a pro forma prospectusWhen you add a new class/series to a pro forma prospectus, you are filing a preliminary prospectus for the new class/series and re-filing the pro forma prospectus for the original class/series of the renewing fund in one document. The prospectus document should clearly indicate what class/series is being added. Select the new class/series and the class/series that was originally included in the pro forma prospectus from the class/series displayed. Select the subtype ‘Combined preliminary and pro forma’ and document type ‘Preliminary and pro forma [type of prospectus] prospectus’. Complete certificates for preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Preliminary) or Preliminary Receipt for the new class/series. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert new class/series] OF [insert renewing fund(s) which the new class/series is being added] PRO FORMA [type of prospectus] PROSPECTUS DATED [insert original pro forma date optional] FOR [insert original class/series] OF [insert renewing fund(s)] Add a class/series to a new fund only in combined preliminary and pro forma prospectusWhen you add a new class/series to a new fund only in a combined preliminary and pro forma prospectus, you are filing an amendment to the preliminary prospectus and re-filing the original preliminary and pro forma prospectus in one document. Select the new class/series and the class/series that was included in the original filing from the class/series displayed. Select the subtype ‘Combined preliminary and pro forma, and amendment to preliminary’ and document type ‘Preliminary and pro forma and amendment to preliminary [type of prospectus] prospectus’. Complete certificates for amendment to preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Amendment to Preliminary) or Receipt for Amendment to Preliminary Prospectus for the new class/series. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: AMENDED AND RESTATED PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert the preliminary fund that is adding a new class/series] [insert all class/series including class/series being added] AMENDING AND RESTATING THE PRELIMINARY PROSPECTUS DATED [insert date] PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert original date of Preliminary] FOR [insert original preliminary funds] [insert class/series] Add a class/series to a renewing fund only in combined preliminary and pro forma prospectusWhen you add a new class/series to a renewing fund only in a combined preliminary and pro forma prospectus, you are filing a preliminary prospectus for the new class/series and re-filing the original preliminary and pro forma prospectus in one document. Select the new class/series and the class/series that was originally included in the filing from the class/series displayed. Select the subtype ‘Combined preliminary and pro forma’ and document type ‘Preliminary and pro forma [type of prospectus] prospectus’. Complete certificates for preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Preliminary) or Preliminary Receipt for the new class/series. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert NEW CLASS/SERIES] OF [insert renewing fund(s) which the new class/series is being added] PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert original date of Preliminary] FOR [insert original preliminary funds] [insert class/series]PRO FORMA [type of prospectus] PROSPECTUS DATED [insert original pro forma date optional] FOR [insert renewing fund(s)] [insert class/series] Add a class/series to both the new fund and renewing fund in combined preliminary and pro forma prospectusWhen you add a new class/series to both the new fund and the renewing fund in a combined preliminary and pro forma prospectus, you are (a) filing an amendment to the preliminary prospectus for the new class/series of the new fund, (b) filing a preliminary prospectus for the new class/series of the renewing fund, and (c) re-filing the pro forma prospectus of funds in one document. Select the new class/series and the class/series that was originally included in the filing from the class/series displayed. Select the subtype ‘Combined preliminary and pro forma, and amendment to preliminary’ and document type ‘Preliminary and pro forma, and amendment to preliminary [type of prospectus] prospectus’. Complete certificates for preliminary and for amendment to preliminary must be included in the prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document (Preliminary and Amendment to Preliminary) or Receipt for Preliminary and Amendment to Preliminary Prospectus. The filing will then proceed to the standard prospectus review process. The cover page of the new document must disclose the following: AMENDED AND RESTATED PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert new fund that is adding a new class/series] [insert all class/series including class/series being added] AMENDING AND RESTATING THE PRELIMINARY PROSPECTUS DATED [insert date] PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] FOR [insert new class/series] OF [insert renewing fund(s) which the new class/series is being added] PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert original date of Preliminary] FOR [insert original preliminary funds] [insert class/series]PRO FORMA [type of prospectus] PROSPECTUS DATED [insert original pro forma date optional] FOR [insert renewing fund(s)] [insert class/series] Add a class/series to a final prospectusWhen adding a new class/series to a final prospectus, you are filing an amendment to final prospectus either in the form of a slip sheet amendment or an amended and restated prospectus. Select the new class/series from the class/series displayed. Select the subtype ‘Amendment to final’ and document type ‘Amendment to (or amended) final [type of prospectus] prospectus’. Complete certificates for amendment to final must be included in the amendment to the final prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document ([amendment number] Amendment to Final) or Receipt for Amendment to Final Prospectus. 

Add a class/series to a preliminary stand-alone investment fund prospectus
When you add a new class/series to a preliminary prospectus, you are amending the ‘Preliminary’ prospectus. The prospectus document should clearly indicate which class/series is being added. Select the subtype ‘Amendment to preliminary’ and document type ‘Amendment to (or amended) preliminary [type of prospectus]’. For a scholarship plan, use the document type ‘Amendment to (or amended) preliminary detailed plan disclosure – scholarship plan’. For a Simplified Prospectus, select the subtype ‘Amendment to preliminary or combined preliminary and pro forma’ and document type ‘Amendment to (or amended) preliminary simplified prospectus’. Add the new class/series to the ‘What class or series of securities are offered via prospectus?’ section. Answer “yes” to the question ‘New class or series of securities being qualified in this amendment?’ and add the new class/series to the ‘Class or series of securities that are being qualified in this amendment’ section. Applicable filing fees and system fees must be paid for this filing.

The principal regulator will issue a Decision Document (Amendment to Preliminary) or Receipt for Amendment to Preliminary Prospectus. The filing will then proceed to the standard prospectus review process.

The cover page of the new document must disclose the following:

AMENDED AND RESTATED PRELIMINARY [type of prospectus] PROSPECTUS DATED [insert date] AMENDING AND RESTATING THE PRELIMINARY PROSPECTUS DATED [insert date] FOR [insert original fund(s)]

Add a class/series to a final stand-alone investment fund prospectus
When adding a new class/series to a final prospectus, you are filing an amendment to final prospectus either in the form of a slip sheet amendment or an amended and restated prospectus. Select the subtype ‘Amendment to final’ and document type ‘Amendment to (or amended) final [type of prospectus] prospectus’. For a scholarship plan, use the document type ‘Amendment to (or amended) final detailed plan disclosure – scholarship plan’. Add the new class/series to the ‘What class or series of securities are offered via prospectus?’ section. Answer “yes” to the question ‘New class or series of securities being qualified in this amendment?’ and add the new class/series to the ‘Class or series of securities that are being qualified in this amendment’ section. Complete certificates for amendment to final must be included in the amendment to the final prospectus. Applicable filing fees and system fees must be paid for this filing. The principal regulator will issue a Decision Document ([amendment number] Amendment to Final) or Receipt for Amendment to Final Prospectus.