The Mutual Fund Dealers Association
of Canada (MFDA) is the national
self-regulatory organization (SRO)
that oversees mutual fund dealers in Canada

COVID-19 Information

What's New

Jun 23, 2021

MFDA Hearing Panel announces sanctions against Derek Chapman and issues Decision and Reasons (News Release)

Jun 23, 2021

MFDA schedules date for Hearing on the Merits in the matter of Natasha Goodison (News Release)

Jun 22, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Ada Tse (News Release)

Jun 21, 2021

MFDA announces disciplinary proceeding in respect of Natasha Goodison (News Release)

Jun 21, 2021

MFDA Hearing Panel makes findings of misconduct against Sean Davidson (News Release)

Jun 21, 2021

MFDA announces disciplinary proceeding in respect of Fangzhou Du (News Release)

Jun 21, 2021

#0863-P - Publication for Comment – CFR Conforming Changes to MSN-0069 (Suitability) (Bulletin)

Jun 17, 2021

MFDA schedules dates for Hearing on the Merits of Liliana Marin (News Release)

Jun 15, 2021

Bulletin0862-M- Canada Deposit Insurance Corporation (CDIC) New Broker/Dealer Requirements for Nominee Name Client Deposits (Bulletin)

Jun 15, 2021

MFDA cancels interim appearance in the matter of Matthew de Haan (News Release)

Dec 24, 2020

Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 Limited Trading Authorization

Nov 19, 2020

Client Focused Reforms (CFR) Amendments to NI 31-103

Mar 26, 2020

Proposed Amendments to MFDA Policy No. 9 Continuing Education (“CE”) Requirements

Jan 30, 2020

Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons)

Apr 4, 2019

Proposed Amendments to MFDA Rule 2.3.1(b)

Jun 23, 2021

MFDA Hearing Panel announces sanctions against Derek Chapman and issues Decision and Reasons

Jun 23, 2021

MFDA schedules date for Hearing on the Merits in the matter of Natasha Goodison

Jun 22, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Ada Tse

Jun 21, 2021

MFDA announces disciplinary proceeding in respect of Natasha Goodison

Jun 21, 2021

MFDA Hearing Panel makes findings of misconduct against Sean Davidson

Jun 21, 2021

MFDA announces disciplinary proceeding in respect of Fangzhou Du

Jun 17, 2021

MFDA schedules dates for Hearing on the Merits of Liliana Marin

Jun 15, 2021

MFDA cancels interim appearance in the matter of Matthew de Haan

Jun 11, 2021

MFDA issues Notice of Settlement Hearing in respect of Diane Knyf

Jun 11, 2021

MFDA announces disciplinary proceeding in respect of Guy Dudding

Jun 21, 2021

#0863-P - Publication for Comment – CFR Conforming Changes to MSN-0069 (Suitability)

Jun 15, 2021

#0862-M - Canada Deposit Insurance Corporation (CDIC) New Broker/Dealer Requirements for Nominee Name Client Deposits

Jun 4, 2021

#0861-C - Account Transfers - Summary of Comments

May 25, 2021

#0860-M - TFSA Maximizer Schemes

May 7, 2021

#0858-P - OSC Adopts Ban on the use of Deferred Sales Charge

Apr 27, 2021

#0857-ME - Vulnerability and Financial Advice: A Broader Look at the Factors That May Increase the Risk of Client Vulnerability

Mar 16, 2021

#0856-P - MFDA Releases Roadmap for the Design and Implementation of a New Modern SRO

Feb 24, 2021

#0855-M - 2021 Compliance and Member Education Priorities

Feb 18, 2021

#0854-M - MFDA Technology Webinar Series: Legal Aspects of Cybersecurity and Cyber-Risk Management

Feb 4, 2021

#0853-P - CSA Publication for Comment of Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information

Sep 5, 2018

MSN-0085 MFDA Member Intermediary Arrangements

Feb 26, 2016

MSN-0084 Advance Instructions for Account Rebalancing

Nov 25, 2014

MSN-0083 Account Statement Disclosure Respecting MFDA IPC Coverage

Sep 12, 2013

MSN-0082 Branch Supervision

Feb 13, 2013

MSN-0081 Sale of Principal Protected Notes by Approved Persons of MFDA Members

Apr 16, 2012

MSN-0080 Payment of Interest on Client Cash Held in Trust

Mar 4, 2011

MSN-0079 Approved Person Transfers

Feb 22, 2011

MSN-0078 MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)

Dec 7, 2010

MSN-0077 Approved Person Proficiency Requirements

Dec 3, 2010

MSN-0075 Relationship Disclosure

Design and Implementation of a new Modern SRO

MFDA Roadmap for the Design and Implementation of a new Modern SRO

What Canadian investors want in a modern SRO

A report that summarizes the results of a National Poll that examines Canadian retail investors’ views around the SRO framework review

MFDA Special Report on Securities Industry Self-Regulation

Read a Proposal for a Modern SRO, a Special Report on Securities Industry Self-Regulation

MFDA Whistleblower Program

Details of the MFDA Whistleblower Program