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
#0650-M July 2, 2015 Membership Information Ontario Securities Commission’s Investor Advisory Panel – Research Project
#0648-M June 29, 2015 Membership Information MFDA Strategic Plan (2015- 2017) – Responsible Regulation in a Dynamic Environment
#0649-P June 29, 2015 Policy Approval of Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
#0647-P June 24, 2015 Policy Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications)
#0646-P June 24, 2015 Policy Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
#0645-M June 23, 2015 New Member ACC Global Financial Inc.
#0644-P June 22, 2015 Policy Request for Comments on the Development of Continuing Education Requirements
#0643-P June 15, 2015 Policy Housekeeping Amendments to Client Complaint Information Form
#0642-M June 2, 2015 Amalgamation Armstrong & Quaile Associates Inc. and Sterling Mutuals Inc.
#0641-M May 28, 2015 Resignation TEN STAR Financial Inc.
#0640-P May 21, 2015 Policy CSA Staff Notice 31-341 - Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of NI 31-103
#0639-P April 16, 2015 Policy MFDA Policy Advisory Committee – New Members
#0638-P April 14, 2015 Policy Implementation of Requirements under CRM2 Phase 2 Amendments to NI 31-103 – Frequently Asked Questions (FAQs)
#0637-P April 8, 2015 Policy Approval of Housekeeping Amendments to MFDA Rule 2.4.2 (Referral Arrangements)
#0636-M April 2, 2015 Membership Information Member Consultation Group – Servicing Senior Clients
#0635-M March 30, 2015 Resignation Investment Financial Group Inc.
#0634-M March 19, 2015 Membership Information OBSI Joint Regulators Committee Annual Report for 2014
#0632-M March 12, 2015 Resignation Ackber Financial Corporation
#0633-M March 12, 2015 Resignation Value Investment Planning Centre Inc.
#0631-C February 19, 2015 Compliance 2015 Compliance and Member Education Priorities
#0630-P February 19, 2015 Policy Revisions to MFDA Staff Notice MSN-0078 (Transaction Fees or Charges)
#0629-P January 30, 2015 Policy OSC Staff Notice 13-705 – Reduced Late Fee for Certain Outside Business Activities Filings
#0628-P January 21, 2015 Transactions in Syndicated Mortgage Securities by Approved Persons of MFDA Members
#0627-M January 6, 2015 Amalgamation Hub Capital Inc. and Interglobe Financial Services Corp.
#0626-M January 5, 2015 Change of Name Fiera Sceptre Funds Inc. to Fiera Capital Funds Inc.
#0625-M January 5, 2015 Membership Information 2015 Financial Filing Deadlines
#0624-C December 29, 2014 Compliance Cost-sharing Arrangements
#0623-P December 19, 2014 Policy Approval of Phase 2 CRM2 Amendments to Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting), 5.4 (Trade Confirmations) and MFDA Financial Questionnaire and Report (Form 1)
#0622-M December 17, 2014 Change of Name Transamerica Securities Inc. to WFG Securities Inc.
#0621-P December 12, 2014 Policy Point of Sale Disclosure for Mutual Funds – Publication of Final Rules Related to Pre-Sale Delivery of Fund Facts