Bulletins

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MFDA Bulletins are publications intended for information purposes. The MFDA issues Bulletins related to Compliance, Enforcement, Membership and Policy matters. MFDA Bulletins are available in both French and English, and can be viewed or printed by clicking on the appropriate link.




Bulletin # Date Type Description
#0748-P April 19, 2018 Policy Discussion Paper on Expanding Cost Reporting
#0747-P April 12, 2018 Policy Approval of New MFDA Rule 2.13 (Disclosure of MFDA Membership) and New MFDA Policy No. 10 Disclosure of MFDA Membership
#0746-C April 11, 2018 Compliance Mutual Fund Dealers Association – 2018 Client Research Project
#0745-M March 29, 2018 Membership Information OBSI Joint Regulators Committee Annual Report for 2017
#0744-C March 29, 2018 Compliance Electronic Communications Review
#0743-P March 22, 2018 Policy Proposed MFDA Rules 1.2 (Definitions), 1.26 (Continuing Education), and Proposed MFDA Policy No. 9 – Continuing Education (CE) Requirements
#0742-M March 14, 2018 Regional Councils Call for Nominations to Regional Councils
#0741-P March 8, 2018 Policy Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements - Publication for Comment
#0740-C January 30, 2018 Compliance CRM2 Report
#0739-C January 16, 2018 Compliance 2018 Compliance and Member Education Priorities
#0738-P January 4, 2018 Policy Approval of Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
#0737-M December 20, 2017 Membership Information 2018 Financial Filing Deadlines
#0736-M December 7, 2017 Membership Information Complying with Requirements regarding the Ombudsman for Banking Services and Investments (OBSI)
#0735-M December 1, 2017 Membership Information Annual General and Special Meeting of Members
#0734-M November 16, 2017 Resignation Superstar Investment Corp.
#0733-M October 25, 2017 Membership Information The MFDA Investor Protection Corporation (IPC) – 2017 Annual Report
#0732-P October 19, 2017 Policy Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
#0731-M October 2, 2017 Notice of Intention to Resign Financial Decisions Inc.
#0730-P September 14, 2017 Policy Summary of Comments – MFDA Bulletin #0711-P Request for Comments on the Development of Continuing Education Requirements
#0729-P September 5, 2017 Policy Publication of Final Form Amendments to NI 31-103
#0728-M August 10, 2017 Amalgamation HollisWealth Advisory Services Inc. and Investia Financial Services Inc.
#0727-M July 20, 2017 Notice of Intention to Resign International Capital Management Inc.
#0726-P July 20, 2017 Policy Approval of New MFDA Policy No. 8 – Proficiency Standard for Approved Persons Selling Exchange Traded Funds (“ETFs”)
#0725-C July 12, 2017 Compliance OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
#0724-P July 4, 2017 Policy Proposed MFDA Rule 2.13 (Disclosure of MFDA Membership) and Policy No. 10 Disclosure of MFDA Membership
#0723-M June 26, 2017 Notice of Intention to Resign Superstar Investment Corp.
#0722-M May 26, 2017 Membership Information New Member - TWMG Inc.
#0721-C May 23, 2017 Compliance MFDA Client Research Report
#0720-M May 8, 2017 Resignation Everest Financial Planning Inc.
#0719-E April 20, 2017 Enforcement MFDA Whistleblower Program

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