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

Aug 10, 2022

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

Aug 10, 2022

MFDA Hearing Panel issues Reasons for Decision in the matter of Maurice Mailloux (News Release)

Aug 10, 2022

MFDA schedules date for penalty hearing in the matter of Joel Attis (News Release)

Aug 8, 2022

MFDA Hearing Panel issues Reasons for Decision in the matter of Pieter Lindhout (News Release)

Aug 8, 2022

MFDA announces settlement hearing to take place in the matter of Roger Gebhardt (News Release)

Aug 8, 2022

MFDA issues Notice of Settlement Hearing in respect of Jerry Song (News Release)

Aug 8, 2022

MFDA issues Notice of Settlement Hearing in respect of William Craven (News Release)

Jul 28, 2022

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

Jul 28, 2022

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

Jul 27, 2022

MFDA Hearing Panel accepts settlement agreement with Sergio Salina (News Release)

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Aug 10, 2022

MFDA Hearing Panel issues Reasons for Decision in the matter of Hon Ting (Patrick) Yung

Aug 10, 2022

MFDA Hearing Panel issues Reasons for Decision in the matter of Maurice Mailloux

Aug 10, 2022

MFDA schedules date for penalty hearing in the matter of Joel Attis

Aug 8, 2022

MFDA Hearing Panel issues Reasons for Decision in the matter of Pieter Lindhout

Aug 8, 2022

MFDA announces settlement hearing to take place in the matter of Roger Gebhardt

Aug 8, 2022

MFDA issues Notice of Settlement Hearing in respect of Jerry Song

Aug 8, 2022

MFDA issues Notice of Settlement Hearing in respect of William Craven

Jul 28, 2022

MFDA schedules interim appearance in the matter of Robert Watts

Jul 28, 2022

MFDA schedules next appearance in the matter of Laura Kowall

Jul 27, 2022

MFDA Hearing Panel accepts settlement agreement with Sergio Salina

Jul 21, 2022

#0911-P - Approval of New MFDA Policy No. 11 Proficiency Standards for the Sale of Alternative Mutual Funds and Summary of Comments

Jul 15, 2022

#0910-M - MFDA Board of Directors Update

Jul 7, 2022

#0908-P - Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) - Publication of CSA Notice of Approval / Non-Objection

Jul 7, 2022

#0909-P - Proposed Amendments to MFDA Rules 2.3.2, and 2.3.3 (Limited Trading Authorization) - Publication of CSA Notice of Approval / Non-Objection

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

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