Forms

MFDA Forms are available in both French and English, and can be viewed and/or printed by clicking on the appropriate language link below.

Financial Documents Language
FORM 1 (IFRS) – as amended December 31, 2015. English pdf icon French pdf icon
The Form 1 Reference Manual English pdf icon French pdf icon
“Bare Trustee” Custodial Agreement (Schedule A to MSN-0058) English pdf icon French pdf icon
Other Custodial Agreements:    
  • Non-Certified Debt Instrument
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  • Member/Custodian Agreement
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Agent’s Agreement (MFDA Staff Notice MSN-0011)    
  • Certificate Regarding Agent’s Agreement between Members and Approved Persons
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  • Counsel’s Opinion Regarding Agent’s Agreement between Members and Approved Persons
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  • Override Acknowledgement
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Agreement made pursuant to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) (Schedule A to MSN-0072) English pdf icon French pdf icon
Other Documents
The Benefits of Working with an MFDA Member English pdf icon French pdf icon
Client Complaint Information (MFDA Staff Notice MSN-0073) English pdf icon French pdf icon
Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1) English pdf icon French pdf icon
Consent to Release of MFDA Enforcement Activity History and Release from Liability English pdf icon French pdf icon
Protect Yourself from Fraud (client brochure) English pdf icon French pdf icon
  • Protect Yourself from Fraud (printable brochure)
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Pre-Delivery of Fund Facts (client brochure) English pdf icon French pdf icon
  • Pre-Delivery of Fund Facts (printable brochure)
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  • Pre-Delivery of Fund Facts (brochure text in MS Word)
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Limited Trading Authorization (MFDA Bulletin #0589-P) English pdf icon French pdf icon
MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M) English pdf icon French pdf icon
Undertaking Preferred Shares (MFDA Staff Notice MSN-0013) English pdf icon French pdf icon
Uniform Guarantee by Members and Related Members (MFDA Staff Notice MSN-0050) English pdf icon French pdf icon
MFDA Membership Application Package
MFDA Membership Application Package (complete) English pdf icon French pdf icon
  • Membership Application Guide
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  • MFDA Membership Application Form
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  • MFDA Application Checklist
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  • Schedule A – Member Fee Guidelines
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  • Schedule B – Registration Information
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  • Schedule C – Capital Requirements
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  • Schedule D – Branch & Sub-Branch Locations
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  • Schedule E – Qualification of Individuals
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  • Schedule F – Trade Names of Approved Persons
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  • Schedule G – Agreement of Approved Person
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  • Schedule H – Auditor Requirements
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  • Schedule I – Uniform Subordinated Loan Agreement
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  • Override Acknowledgement for MFDA Uniform Subordinated Loan Agreement (Schedule B)
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  • Schedule J – Undertaking Regarding Retractable Preferred Shares
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  • Schedule K – Policies and Procedures Manual
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