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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.

Year:


Bulletin # Date Type Description
#0716-M February 22, 2017 Member Information Canadian Investment Industry’s Move to T+2 Settlement
#0715-M February 22, 2017 Membership Information 2016 Year in Review and 2017 Initiatives
#0714-P January 31, 2017 Policy MFDA Staff Notice #0066 - Signature Falsification
#0713-P January 24, 2017 Policy Suitability - Research Paper on Canadian Securities Regulatory Authority Decisions
#0712-P January 19, 2017 Policy Approval of Amendments to Rule 2.3 (Power of Attorney/Limited Trading Authorization/Discretionary Trading)
#0711-P January 12, 2017 Policy Request for Comments on the Development of Continuing Education Requirements
#0710-M January 4, 2017 Notice of Intention to Resign Banwell Financial Inc.
#0709-M December 22, 2016 Member Information Transfers and Proprietary Investment Products
#0708-M December 21, 2016 Resignation First Capital Financial Inc.
#0707-M December 19, 2016 Member Information 2017 Financial Filing Deadlines
#0706-P December 15, 2016 Policy CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts
#0705-C December 15, 2016 Compliance Review of Compensation, Incentives and Conflicts of Interest
#0704-M December 14, 2016 Resignation Resignation - Mandeville Wealth Services Inc./ Gestion de Patrimoine Mandeville Inc.
#0703-M December 2, 2016 Member Information Annual General and Special Meeting of Members
#0702-P October 27, 2016 Policy Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited)
#0701-M October 3, 2016 Membership Information The MFDA Investor Protection Corporation (IPC) – 2016 Annual Report
#0700-M September 12, 2016 Change of Name De Thomas Financial Corp. to De Thomas Wealth Management Corp.
#0699-M September 7, 2016 Notice of Intention to Resign Mandeville Wealth Services Inc.
#0698-M August 18, 2016 Notice of Intention to Resign Everest Financial Planning Inc.
#0697-M July 12, 2016 Resignation Ramey Investments Incorporated
#0696-P July 11, 2016 Policy CSA Publication for Comment of Proposed Amendments to NI 31-103, NI 33-109 and Related Materials
#0695-P June 30, 2016 Policy Proposed New MFDA Policy No. 8 - Proficiency Standard for Approved Persons Selling Exchange Traded Funds
#0694-M June 23, 2016 Member Information Potential Canadian Postal Strike
#0693-M June 9, 2016 Regional Councils Regional Council Update
#0692-C June 3, 2016 Compliance Summary of Comments and Next Steps – MFDA Bulletin #0679-C Mutual Fund Dealers Association – Client Research Project
#0691-P June 1, 2016 Policy Point of Sale Disclosure for Mutual Funds – Implementation of Requirements for Pre-Sale Delivery of the Fund Facts
#0690-C May 19, 2016 Compliance Cybersecurity
#0689-P May 13, 2016 Policy Implementation of Requirements under CRM2 Phase 2 Amendments to NI 31-103 – Frequently Asked Questions (FAQs)
#0688-C April 21, 2016 Compliance CRM2 Webcast
#0687-M April 8, 2016 Membership Information OBSI Joint Regulators Committee Annual Report for 2015

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