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BULLETIN #0724-P
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Paige Ward

General Counsel, Corporate Secretary and Vice President, Policy

(416) 943-5838

pward@mfda.ca

BULLETIN #0724-P

04 July, 2017

Policy

For Distribution to Relevant Parties within your Firm

Proposed MFDA Rule 2.13 (Disclosure of MFDA Membership) and Policy No. 10 Disclosure of MFDA Membership

On June 29, 2017, the British Columbia Securities Commission (“BCSC”) published for public comment proposed MFDA Rule 2.13 (Disclosure of MFDA Membership) and Policy No. 10 Disclosure of MFDA Membership.

The proposed MFDA Rule 2.13 will require the MFDA Logo to be included on account statements and on the Member’s website.

The proposed MFDA Policy No. 10 will establish minimum requirements for disclosure and provide direction to Members on the use of the MFDA Logo.

The intent of the proposed MFDA Rule and Policy is to promote client awareness of the regulatory oversight exercised by the MFDA in respect of MFDA Members and their Approved Persons.

Comments

Comments should be made in writing. One copy of each comment letter should be delivered by September 27, 2017  (within 90 days of the BCSC’s publication of the proposed Rule and Policy), addressed to the attention of: Paige Ward, General Counsel, Corporate Secretary and Vice-President, Policy, Mutual Fund Dealers Association of Canada, 121 King St. West, Suite 1000, Toronto, Ontario, M5H 3T9 and one copy addressed to the attention of: Anne Hamilton, Senior Legal Counsel, British Columbia Securities Commission, 701 West Georgia Street, P.O. Box 10142, Pacific Centre, Vancouver, British Columbia, V7Y 1L2.

Those submitting comment letters should be aware that a copy of their comment letter will be made publicly available on the MFDA website at www.mfda.ca.

To view the proposed Rule and Policy, please go to: http://mfda.ca/wp-content/uploads/Rule2.13-Policy10

The proposed Rule and Policy may also be viewed on the BCSC’s website at:

http://www.bcsc.bc.ca/Marketplaces/SRO/MFDA/Request_for_Comment__Proposed_MFDA_Rule_2_13_and_Policy_No__10_(Disclosure_of_MFDA_Membership)/

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