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Transfer of investment funds or investment fund groups between investment fund managers

IMPORTANT: For investment fund(s) or investment fund groups that do not have a current investment fund manager (IFM) shown on their profile, please contact the CSA Service Desk for assistance with the transfer.

You can transfer one ‘stand-alone’ investment fund (a fund that does not belong to an investment fund group) or one investment fund group from the current IFM to another IFM. The transfer is initiated by the current investment fund manager and is then reviewed and confirmed by the recipient IFM. The following steps describe how the transfer can be done:

1. Your organization must have a `filer’ relationship with the IFM profile, and you must be logged in as an Authorized Super User (ASU) for the IFM itself (and not as an ASU for the filing agent of the IFM).
   READ: What is the distinction between a filer and a filing agent in SEDAR+ 
2. You must also have the appropriate authority (Complete authority for user within organization) to initiate the transfer of the investment fund(s) or investment fund group between different IFMs.
3. Review the IFM profile’s `Profile details’ section and ensure the email address shown is for the ASU initiating the transfer request, as an email to confirm the transfer will be sent to this email address. Maintain the profile to change the email address, as necessary. 
4. Go to the investment fund profile and, in the ‘Actions’ section, select ‘Request transfer of investment fund’ or ‘Request transfer of investment fund group.’ The recipient IFM must exist in SEDAR+ prior to initiating the transfer.
5. Click the ‘Request transfer’ button on the ‘Before you get started’ page, and provide the details required for the transfer. The ‘Submit’ button appears once you search for an IFM.
6. Once the request to transfer is submitted, the recipient IFM receives an email to confirm the transfer. The email includes a link back to SEDAR+ which, after login, allows the IFM to accept or reject the transfer.
7. Once reviewed and confirmed by the recipient IFM, the system updates the details of the IFM on the profile. The current IFM receives an email advising their request was accepted and the investment fund(s) or investment fund group shows under the ‘investment funds’ tab of the recipient IFM. The investment funds(s) or investment fund group will no longer show under the ‘investment funds’ tab of the previous IFM.

Note: If you do not want to transfer all investment funds in the group, remove the investment funds to be transferred from the group using the ‘Maintain’ service and then send a request of transfer for individual funds.