MFDA | Official Website of The Mutual Fund Dealers Association of Canada

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

What's New

Date	Title
May 24, 2023	New SRO announces settlement hearing to take place in the matter of Baljit Rana (News Release)
May 19, 2023	New SRO schedules date for Hearing on the Merits in the matter of Autumn Farmer (News Release)
May 12, 2023	New SRO Hearing Panel adjourns Hearing on the Merits in the matter of Ann Reid (News Release)
May 12, 2023	New SRO Hearing Panel issues Decision and Reasons in the matter of Hope Thomas (News Release)
May 5, 2023	New SRO announces disciplinary proceeding in respect of Autumn Farmer (News Release)
April 25, 2023	New SRO Hearing Panel hears motion in the matter of Antonio Luciano (News Release)
April 24, 2023	New SRO Members Approve New Name (News Release)
April 21, 2023	Alberta Securities Commission dismisses application for review in the matter of Paul Dwyer (News Release)
April 20, 2023	New SRO schedules appearance in the matter of Patricia Sonne (News Release)
April 20, 2023	New SRO schedules date for Hearing on the Merits in the matter of George Lukiwski (News Release)

Date	Title
May 24, 2023	New SRO announces settlement hearing to take place in the matter of Baljit Rana
May 19, 2023	New SRO schedules date for Hearing on the Merits in the matter of Autumn Farmer
May 12, 2023	New SRO Hearing Panel adjourns Hearing on the Merits in the matter of Ann Reid
May 12, 2023	New SRO Hearing Panel issues Decision and Reasons in the matter of Hope Thomas
May 5, 2023	New SRO announces disciplinary proceeding in respect of Autumn Farmer
April 25, 2023	New SRO Hearing Panel hears motion in the matter of Antonio Luciano
April 24, 2023	New SRO Members Approve New Name
April 21, 2023	Alberta Securities Commission dismisses application for review in the matter of Paul Dwyer
April 20, 2023	New SRO schedules appearance in the matter of Patricia Sonne
April 20, 2023	New SRO schedules date for Hearing on the Merits in the matter of George Lukiwski

Date	Title
April 18, 2023	Regional Council Annual General Meetings
April 14, 2023	New Webcast: Panel Auditors Annual Conference
April 3, 2023	Resignation - Designed Investments Ltd.
March 29, 2023	New Webcast: Common Examination Findings
March 28, 2023	Notice of Intention to Resign – Designed Investments Ltd.
March 17, 2023	New SRO Regional Councils – Call for Nomination
March 17, 2023	New Webcast: Failed Trade Study
March 3, 2023	Mutual Fund Dealer Continuing Education (CE) Update – Issuance of 2023 Compliance Credit
March 1, 2023	New Webcast: Effective Supervision
February 23, 2023	Notice of Intention to Resign Bulletin #0930-M - Greg Pompeo Enterprises Inc.

Date	Title
September 5, 2018	MFDA Member Intermediary Arrangements
February 26, 2016	Advance Instructions for Account Rebalancing
November 25, 2014	Account Statement Disclosure Respecting MFDA IPC Coverage
September 12, 2013	Branch Supervision
February 13, 2013	Sale of Principal Protected Notes by Approved Persons of MFDA Members
April 16, 2012	Payment of Interest on Client Cash Held in Trust
March 4, 2011	Approved Person Transfers
February 22, 2011	MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)
December 7, 2010	Approved Person Proficiency Requirements
December 3, 2010	Performance Reporting (suspended March 4, 2013)

New Self-Regulatory Organization of Canada (New SRO) (Opens in a new window)

Visit the New Self-Regulatory Organization of Canada website.

New SRO Interim Rules – Frequently Asked Questions (Opens in a new window)

Members are encouraged to reach out to SRO staff to understand how the interim rules apply to their unique circumstances.

Whistleblower Program

Link to information on the MFDA Whistleblower Program