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

Jan 22, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Leszek Dziadecki (News Release)

Jan 22, 2021

MFDA Hearing Panel accepts settlement agreement with Vanessa Sjostrom (News Release)

Jan 22, 2021

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

Jan 21, 2021

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

Jan 19, 2021

MFDA Hearing Panel accepts settlement agreement with Leszek Dziadecki (News Release)

Jan 18, 2021

Bulletin No. 0849-M - Amalgamation - Credential Asset Management Inc. and Qtrade Asset Management Inc. (Bulletin)

Jan 15, 2021

MFDA announces disciplinary proceeding in respect of Md Ashanur Rahman (News Release)

Jan 15, 2021

MFDA announces settlement hearing to take place in respect of Leszek Dziadecki (News Release)

Jan 15, 2021

MFDA amends hearing start time in the matter of Mohammad Movassaghi (News Release)

Jan 14, 2021

MFDA announces disciplinary proceeding in respect of Derek Targerson (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)

Jan 22, 2021

MFDA Hearing Panel issues Reasons for Decision in the matter of Leszek Dziadecki

Jan 22, 2021

MFDA Hearing Panel accepts settlement agreement with Vanessa Sjostrom

Jan 22, 2021

MFDA Hearing Panel accepts settlement agreement with Jason Dickout

Jan 19, 2021

MFDA Hearing Panel accepts settlement agreement with Leszek Dziadecki

Jan 15, 2021

MFDA announces disciplinary proceeding in respect of Md Ashanur Rahman

Jan 15, 2021

MFDA announces settlement hearing to take place in respect of Leszek Dziadecki

Jan 15, 2021

MFDA amends hearing start time in the matter of Mohammad Movassaghi

Jan 14, 2021

MFDA announces disciplinary proceeding in respect of Derek Targerson

Jan 14, 2021

MFDA schedules date for Hearing on the Merits in the matter of Libin Shen

Jan 14, 2021

MFDA reschedules Hearing on the Merits in the matter of Joel Attis

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.

Jan 4, 2021

#0848-M - 2021 Financial Filing Deadlines

Dec 24, 2020

#0847-P - Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 Limited Trading Authorization

Dec 17, 2020

#0846-C - Mutual Fund Dealers Association – 2021 Client Research Project

Dec 8, 2020

#0845-P - Update Regarding Requests for Paper Documents and Original Signatures

Dec 4, 2020

#0844-M - Annual General and Special Meeting of Members

Nov 19, 2020

#0843-P - Client Focused Reforms (CFR) Amendments to NI 31-103 – Publication of Conforming Changes to MFDA Regulatory Instruments

Nov 16, 2020

#0842-M - MFDA Client Research Report 2020

Nov 12, 2020

0841-M - MFDA Warns of Fraudulent Phishing Emails Targeting MFDA Members

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

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 Wealth Management Footprint Report

The Report highlights the wealth management footprint of MFDA Members in Canada.

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