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

Jun 24, 2022

MFDA Hearing Panel confirms electronic hearing in the matter of TeamMax Investment Corp. (News Release)

Jun 23, 2022

MFDA Hearing Panel confirms hearing dates in the matter of TeamMax Investment Corp. (News Release)

Jun 23, 2022

MFDA schedules next appearance in the matter of Laura Kowall (News Release)

Jun 23, 2022

MFDA schedules interim appearance in the matter of Robert Watts (News Release)

Jun 22, 2022

MFDA Hearing Panel makes findings of misconduct and reserves judgment on sanctions against Nicholas Rivet (News Release)

Jun 22, 2022

MFDA amends interim appearance start time in the matter of Laura Kowall (News Release)

Jun 21, 2022

MFDA Hearing Panel accepts settlement agreement with Xinyi Pu (News Release)

Jun 21, 2022

MFDA schedules dates for Hearing on the Merits in the matter of Zinan Liu (News Release)

Jun 20, 2022

MFDA Hearing Panel accepts settlement agreement with Geng Liu (News Release)

Jun 16, 2022

MFDA issues Notice of Settlement Hearing in respect of Fahad Izhar (News Release)

Nov 25, 2021

Proposed New Policy No. 11 (Proficiency Standards for the Sale of Alternative Mutual Funds)

Dec 24, 2020

Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 Limited Trading Authorization

Jan 30, 2020

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

Jun 24, 2022

MFDA Hearing Panel confirms electronic hearing in the matter of TeamMax Investment Corp.

Jun 23, 2022

MFDA Hearing Panel confirms hearing dates in the matter of TeamMax Investment Corp.

Jun 23, 2022

MFDA schedules next appearance in the matter of Laura Kowall

Jun 23, 2022

MFDA schedules interim appearance in the matter of Robert Watts

Jun 22, 2022

MFDA Hearing Panel makes findings of misconduct and reserves judgment on sanctions against Nicholas Rivet

Jun 22, 2022

MFDA amends interim appearance start time in the matter of Laura Kowall

Jun 21, 2022

MFDA Hearing Panel accepts settlement agreement with Xinyi Pu

Jun 21, 2022

MFDA schedules dates for Hearing on the Merits in the matter of Zinan Liu

Jun 20, 2022

MFDA Hearing Panel accepts settlement agreement with Geng Liu

Jun 16, 2022

MFDA issues Notice of Settlement Hearing in respect of Fahad Izhar

Jun 6, 2022

#0907-M - Regional Council Update

May 20, 2022

#0906-P - Amendments to National Instrument 33-109 Registration Information and Changes to the Companion Policy to NI 33-109 Registration Information

May 13, 2022

#0905-ME - The Institute for Advanced Financial Education (“The Institute”) recognized by MFDA as a Third Party Accreditor

May 12, 2022

#0904-P - CSA Announcement of boards for new SRO and IPF and publication of draft documents for comment

Apr 21, 2022

#0903-M - New Member - FORTAX Private Wealth Corp.

Mar 14, 2022

#0902-M - Call for Nominations to Regional Councils

Mar 3, 2022

#0901-M - Notice of Intention to Resign - Leith Wheeler Investment Funds Ltd.

Feb 3, 2022

#0900-M - Resignation Bulletin #0900-M - Y.I.S. Financial Inc.

Jan 27, 2022

#0899-M - Notice of Intention to Resign - TeamMax Investment Corp.

Jan 10, 2022

#0898-M - Amalgamation - Excel Private Wealth Inc. and Quadrus Investment Services Ltd.

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

Mar 24, 2022

MFDA Warning about “Ontario Invest”

Aug 13, 2021

MFDA Warning about Crypto Website

New Self-Regulatory Organization Framework

CSA Staff Notices related to the New SRO and New IPF

New SRO FAQs

FAQs to the Draft New SRO Interim Rules and New SRO Investor Advisory Panel Draft Terms of Reference

Whistleblower Program

Link to information on the MFDA Whistleblower Program