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

Oct 15, 2021

Bulletin #0880-M - MFDA 2021 Annual Report (Bulletin)

Oct 15, 2021

MFDA schedules date for Hearing on the Merits in the matter of Laura Monteiro (News Release)

Oct 14, 2021

MFDA announces disciplinary proceeding in respect of Roger Gebhardt (News Release)

Oct 14, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of William Harvey (News Release)

Oct 13, 2021

MFDA announces disciplinary proceeding in respect of Stephen Smockum (News Release)

Oct 12, 2021

MFDA announces disciplinary proceeding in respect of Anthony Chiaravalloti (News Release)

Oct 8, 2021

MFDA Hearing Panel accepts settlement agreement with Yukun Wang (News Release)

Oct 8, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Jason Martineau (News Release)

Oct 8, 2021

Ontario Securities Commission issues decision in the matter of Omar Enrique Rojas Diaz (News Release)

Oct 8, 2021

MFDA schedules next appearance in the matter of Gregory Myers (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

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)

Oct 15, 2021

MFDA schedules date for Hearing on the Merits in the matter of Laura Monteiro

Oct 14, 2021

MFDA announces disciplinary proceeding in respect of Roger Gebhardt

Oct 14, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of William Harvey

Oct 13, 2021

MFDA announces disciplinary proceeding in respect of Stephen Smockum

Oct 12, 2021

MFDA announces disciplinary proceeding in respect of Anthony Chiaravalloti

Oct 8, 2021

MFDA Hearing Panel accepts settlement agreement with Yukun Wang

Oct 8, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Jason Martineau

Oct 8, 2021

Ontario Securities Commission issues decision in the matter of Omar Enrique Rojas Diaz

Oct 8, 2021

MFDA schedules next appearance in the matter of Gregory Myers

Oct 8, 2021

MFDA schedules interim appearance in the matter of Nancy Myers

Oct 15, 2021

#0880-M - MFDA 2021 Annual Report

Sep 21, 2021

#0879-M - The MFDA Investor Protection Corporation (IPC) – 2021 Annual Report

Sep 15, 2021

#0878-ME - Webinar Hosted by NPC DataGuard: 10 Steps to Protect Your Business from Ransomware

Sep 13, 2021

#0877-M - Change of Name - Altimum Mutuals Inc. to Oakhaven Wealth Advisors Inc.

Sep 2, 2021

#0876-P - Client Focused Reforms (CFR) – CSA Notice of Approval / Non-Objection for Conforming Changes to MFDA Regulatory Instruments

Aug 24, 2021

#0875-M - Resignation - Acadia Financial Services Inc.

Aug 11, 2021

#0874-M - Webcast: Improving Fee Disclosures for Canadian Investors

Aug 5, 2021

#0873-M - OBSI Joint Regulators Committee Annual Report for 2020

Aug 3, 2021

#0872-P - Publication of CSA Position Paper 25-404 – New Self-Regulatory Organization Framework

Jul 29, 2021

#0871-M - Notice of Intention to Resign - Y.I.S. Financial 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

Aug 13, 2021

MFDA Warning about Crypto Website

Design and Implementation of a new Modern SRO

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

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