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
#0688-C April 21, 2016 Compliance CRM2 Webcast
#0687-M April 8, 2016 Membership Information OBSI Joint Regulators Committee Annual Report for 2015
#0686-P April 4, 2016 Policy Summary of Comments – MFDA Bulletin #0653-P Consultation Document on the Proficiency Standard for Approved Persons Selling Exchange-Traded Funds (ETFs)
#0685-M March 29, 2016 Resignation Polyfunds Investment Inc.
#0684-C March 28, 2016 Compliance Findings Noted During Auditor Working Paper Reviews
#0683-P March 17, 2016 Policy Approval of Amendments to Rule 1.2 (Individual Qualifications)
#0682-P March 10, 2016 Policy Proposed Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authorization/Discretionary Trading)
#0681-M March 1, 2016 Membership Information Call for Nominations to Regional Councils
#0680-M February 25, 2016 Membership Information Investor Notice - Changes to Fund Facts Delivery
#0679-C February 8, 2016 Compliance Mutual Fund Dealers Association – Client Research Project
#0678-C February 4, 2016 Compliance Report on 2015 Review of Specific Policies and Procedures: Pre-Trade Disclosure, KYC Updates, Concentration Criteria, and Titles Targeting Seniors
#0677-M February 2, 2016 Amalgamation Investissements Excel inc. and Certika Investments Ltd.
#0676-M January 15, 2016 Notice of Intention to Resign Ramey Investments Incorporated
#0675-P January 13, 2016 Policy 2015 Year in Review and 2016 Initiatives
#0674-M January 12, 2016 Membership Information 2016 Financial Filing Deadlines
#0673-P January 12, 2016 Policy Summary of Comments – MFDA Bulletin #0656-P Consultation Paper on Standards for Use of the Title “Financial Planner”
#0672-M December 21, 2015 Resignation Evangeline Securities Limited
#0671-P December 18, 2015 Policy Report on Charges and Compensation – Consultation Regarding Cost Reporting for Investment Funds
#0670-C December 18, 2015 Compliance 2015 DSC Sweep Report – Supervision, Suitability and Disclosure of Funds with Sales Charges
#0669-M December 7, 2015 Membership Information Appointment of the Chair and Vice-Chair of the MFDA Board of Directors
#0668-M December 3, 2015 Membership Information Annual General and Special Meeting of Members
#0667-P December 3, 2015 Policy Amendments to MFDA Rules
#0666-P December 1, 2015 Policy Summary of Comments – MFDA Bulletin #0644-P Request for Comments on the Development of Continuing Education Requirements
#0665-M December 1, 2015 Membership Information The Benefits of Working with an MFDA Member Brochure
#0664-M November 2, 2015 Membership Information The MFDA Investor Protection Corporation (IPC) – 2015 Annual Report
#0663-M October 23, 2015 Notice of Intention to Resign Polyfunds Investment Inc.
#0662-M October 8, 2015 Resignation Ontario Financial Services Inc.
#0660-M October 2, 2015 Notice of Intention to Resign First Capital Financial Inc.
#0661-E October 2, 2015 Enforcement Signature Falsification
#0659-P September 23, 2015 Policy Notice of Exemption Granted Pursuant to Section 37 of By-law No.1