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

Jul 23, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Kenneth Clark (News Release)

Jul 22, 2021

Bulletin #0868-ME -CERTS – Onboarding Plan (Bulletin)

Jul 22, 2021

Bulletin #0867-ME - Approval of MFDA Continuing Education (CE) Requirements (Bulletin)

Jul 21, 2021

MFDA issues Notice of Settlement Hearing in respect of Pauline Arnold (News Release)

Jul 21, 2021

MFDA issues Notice of Settlement Hearing in respect of David McMillan (News Release)

Jul 21, 2021

MFDA schedules next appearance in the matter of Fangzhou Du (News Release)

Jul 20, 2021

MFDA schedules date for Hearing on the Merits in the matter of Yukun Wang (News Release)

Jul 20, 2021

MFDA schedules dates for Hearing on the Merits in the matter of Wayne Charlton (News Release)

Jul 20, 2021

MFDA cancels interim appearance in the matter of Natasha Goodison (News Release)

Jul 19, 2021

MFDA Hearing Panel accepts settlement agreement with Tuomo Kostamo (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)

Jul 23, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Kenneth Clark

Jul 21, 2021

MFDA issues Notice of Settlement Hearing in respect of Pauline Arnold

Jul 21, 2021

MFDA issues Notice of Settlement Hearing in respect of David McMillan

Jul 21, 2021

MFDA schedules next appearance in the matter of Fangzhou Du

Jul 20, 2021

MFDA schedules date for Hearing on the Merits in the matter of Yukun Wang

Jul 20, 2021

MFDA schedules dates for Hearing on the Merits in the matter of Wayne Charlton

Jul 20, 2021

MFDA cancels interim appearance in the matter of Natasha Goodison

Jul 19, 2021

MFDA Hearing Panel accepts settlement agreement with Tuomo Kostamo

Jul 16, 2021

MFDA apply for review of MFDA Hearing Panel decision in respect of Omar Enrique Rojas Diaz

Jul 16, 2021

MFDA announces settlement hearing to take place in the matter of Tuomo Kostamo

Jul 22, 2021

#0868-ME - CERTS – Onboarding Plan

Jul 22, 2021

0867-ME - Approval of MFDA Continuing Education (CE) Requirements

Jul 15, 2021

#0866-P - Publication of Final Amendments to Enhance Protection of Older and Vulnerable Clients - National Instrument 31-103 (NI 31-103)

Jul 2, 2021

#0865-M - Amalgamation - Investia Financial Services Inc. and FundEX Investments Inc.

Jun 30, 2021

#0864-P - Client Focused Reforms (CFR) – Implementation of Requirements Related to Conflicts of Interest

Jun 21, 2021

#0863-P - Publication for Comment – CFR Conforming Changes to MSN-0069 (Suitability)

Jun 15, 2021

#0862-M - Canada Deposit Insurance Corporation (CDIC) New Broker/Dealer Requirements for Nominee Name Client Deposits

Jun 4, 2021

#0861-C - Account Transfers - Summary of Comments

May 25, 2021

#0860-M - TFSA Maximizer Schemes

May 7, 2021

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

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