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
#0658-C September 17, 2015 Compliance Mystery Shop Report – Insights into Advisory Practices and the Investor Experience in Ontario
#0657-C September 14, 2015 Compliance CRM2 Implementation Guide and Tips
#0656-P September 4, 2015 Policy Consultation Paper on Standards for Use of the Title “Financial Planner”
#0655-M September 1, 2015 Membership Information 2015 National Seniors Summit
#0654-P September 1, 2015 Policy Implementation of Requirements under CRM2 Phase 2 Amendments to NI 31-103 – Frequently Asked Questions (FAQs) – Revised as at September 1, 2015
#0653-P July 22, 2015 Policy Request for Comment – Consultation Document (Proficiency Standard for Approved Persons Selling Exchange-Traded Funds (ETFs)) and Draft MFDA Staff Notice – Outside Activity
#0652-M July 6, 2015 Notice of Intention to Resign Evangeline Securities Limited
#0651-M July 6, 2015 Notice of Intention to Resign Ontario Financial Services Inc.
#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