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
#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 Notice of Intention to Resign - Superstar Investment Corp.
#0722-M May 26, 2017 Member Information New Member Bulletin #0722-M - TWMG Inc.
#0721-C May 23, 2017 Compliance MFDA Client Research Report
#0720-M May 8, 2017 Resignation Resignation - Everest Financial Planning Inc.
#0719-E April 20, 2017 Enforcement MFDA Whistleblower Program
#0718-C March 29, 2017 Compliance Cybersecurity Webcast
#0717-M March 23, 2017 Member Information OBSI Joint Regulators Committee Annual Report for 2016
#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.

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