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

May 12, 2021

MFDA announces disciplinary proceeding in respect of Wayne Charlton (News Release)

May 12, 2021

MFDA schedules date for next appearance in the matter of Andrew Kazina (News Release)

May 11, 2021

MFDA Hearing Panel accepts settlement agreement with Jason Martineau (News Release)

May 11, 2021

MFDA Hearing Panel imposes sanctions in the matter of Jewel Henricks (News Release)

May 10, 2021

MFDA announces disciplinary proceeding in respect of Adeleke Olanrewaju (News Release)

May 10, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Patrick Lynch (News Release)

May 10, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Bertha Ravn (News Release)

May 7, 2021

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

May 7, 2021

MFDA Hearing Panel issues Reasons for Decision (Penalty) in the matter of Sylvia Suk Fan Wong (News Release)

May 7, 2021

MFDA reschedules date for next appearance in the matter of Andrew Kazina (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)

May 12, 2021

MFDA announces disciplinary proceeding in respect of Wayne Charlton

May 12, 2021

MFDA schedules date for next appearance in the matter of Andrew Kazina

May 11, 2021

MFDA Hearing Panel accepts settlement agreement with Jason Martineau

May 11, 2021

MFDA Hearing Panel imposes sanctions in the matter of Jewel Henricks

May 10, 2021

MFDA announces disciplinary proceeding in respect of Adeleke Olanrewaju

May 10, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Patrick Lynch

May 10, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Bertha Ravn

May 7, 2021

MFDA Hearing Panel issues Reasons for Decision (Penalty) in the matter of Sylvia Suk Fan Wong

May 7, 2021

MFDA reschedules date for next appearance in the matter of Andrew Kazina

May 7, 2021

MFDA Panel adjourns Hearing on the Merits in the matter of Amin Mohammed Ali

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

Feb 2, 2021

#0852-P - Capital Markets Modernization Taskforce Final Report - SRO Recommendations

Jan 28, 2021

#0851-P - CSA Issues Blanket Relief – Additional Proficiency Options for Distribution of Alternative Funds

Jan 21, 2021

#0850-P - Approval of Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures – Members)

Jan 18, 2021

#0849-M - Amalgamation - Credential Asset Management Inc. and Qtrade Asset Management Inc.

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