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

Jan 12, 2022

MFDA reschedules settlement hearing in the matter of Qanoot Subzwari (News Release)

Jan 11, 2022

MFDA schedules next appearance in the matter of TeamMax Investment Corp. (News Release)

Jan 11, 2022

MFDA schedule dates for Hearing on the Merits in the matter of Hon Ting (Patrick) Yung (News Release)

Jan 11, 2022

MFDA schedule dates for Hearing on the Merits in the matter of Nicholas Rivet (News Release)

Jan 10, 2022

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

Jan 6, 2022

MFDA announces hearing date in the matter of Ronald Kowalsky (News Release)

Jan 5, 2022

Bulletin #0897-M - New Member - Designed Investments Inc. (Bulletin)

Jan 4, 2022

Bulletin #0896-M - 2022 Financial Filing Deadlines (Bulletin)

Dec 31, 2021

Bulletin #0895-P - Trusted Contact and Temporary Hold Amendments to MFDA Rules now in Effect (Bulletin)

Dec 31, 2021

Bulletin #0894-P - CFR Conforming Amendments to MFDA Regulatory Instruments Now in Effect (Bulletin)

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

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)

Jan 12, 2022

MFDA reschedules settlement hearing in the matter of Qanoot Subzwari

Jan 11, 2022

MFDA schedules next appearance in the matter of TeamMax Investment Corp.

Jan 11, 2022

MFDA schedule dates for Hearing on the Merits in the matter of Hon Ting (Patrick) Yung

Jan 11, 2022

MFDA schedule dates for Hearing on the Merits in the matter of Nicholas Rivet

Jan 6, 2022

MFDA announces hearing date in the matter of Ronald Kowalsky

Dec 29, 2021

MFDA announces disciplinary proceeding in respect of Jingshan (Sarah) He

Dec 29, 2021

MFDA announces disciplinary proceeding in respect of Sungsoo (Steve) Lee

Dec 29, 2021

MFDA announces disciplinary proceeding in respect of Zinan Liu

Dec 29, 2021

MFDA announces disciplinary proceeding in respect of Chanrith Yin

Dec 29, 2021

MFDA issues Notice of Settlement Hearing in respect of Richard Boker

Jan 10, 2022

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

Jan 5, 2022

#0897-M - New Member - Designed Investments Inc.

Jan 4, 2022

#0896-M - 2022 Financial Filing Deadlines

Dec 31, 2021

#0894-P - CFR Conforming Amendments to MFDA Regulatory Instruments Now in Effect

Dec 31, 2021

#0895-P - Trusted Contact and Temporary Hold Amendments to MFDA Rules now in Effect

Dec 23, 2021

#0892-P - Withdrawal of Proposed Amendments to MFDA Rules 2.3.1(b) (Discretionary Trading) and 2.2.5 (Relationship Disclosure)

Dec 23, 2021

#0893-P - Withdrawal of Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited)

Dec 21, 2021

#0891-P - CFR Conforming Amendments to MSN-0069 - (Suitability): Summary of Comments

Dec 20, 2021

#0890-P - CSA Publication of Final Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information

Dec 17, 2021

#0889-P - Client Focused Reforms, Trusted Contact Persons/Temporary Holds: December 31, 2021 Effective Date for Conforming Changes to MFDA Regulatory Instruments

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

CSA Position Paper 25-404 - New Self-Regulatory Organization Framework

CSA Position Paper setting out its decision to establish a new single enhanced SRO

SRO Framework Review

MFDA Publications and Releases Relating to the CSA New Self-Regulatory Organization Framework

Whistleblower Program

Link to information on the MFDA Whistleblower Program