MFDA | Official Website of The Mutual Fund Dealers Association of Canada

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

Date	Title
September 30, 2022	MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Everest D’Souza (News Release)
September 29, 2022	MFDA and IIROC Members approve the creation of a single new SRO (News Release)
September 29, 2022	Special Meeting of Members (Bulletin)
September 28, 2022	MFDA Hearing Panel accepts settlement agreement with MD Sabab Alam (News Release)
September 28, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Jerry Song (News Release)
September 28, 2022	MFDA reschedules interim appearance in the matter of Laura Kowall (News Release)
September 28, 2022	MFDA Hearing Panel confirms hearing dates in the matter of Andrew Kazina (News Release)
September 28, 2022	MFDA reschedules interim appearance in the matter of Robert Watts (News Release)
September 27, 2022	MFDA announces disciplinary proceeding in respect of Charles Hogg (News Release)
September 27, 2022	MFDA announces disciplinary proceeding in respect of Stephen Talosi (News Release)

Date	Title
September 30, 2022	MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Everest D’Souza
September 29, 2022	MFDA and IIROC Members approve the creation of a single new SRO
September 28, 2022	MFDA Hearing Panel accepts settlement agreement with MD Sabab Alam
September 28, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Jerry Song
September 28, 2022	MFDA reschedules interim appearance in the matter of Laura Kowall
September 28, 2022	MFDA Hearing Panel confirms hearing dates in the matter of Andrew Kazina
September 28, 2022	MFDA reschedules interim appearance in the matter of Robert Watts
September 27, 2022	MFDA announces disciplinary proceeding in respect of Charles Hogg
September 27, 2022	MFDA announces disciplinary proceeding in respect of Stephen Talosi
September 27, 2022	MFDA announces disciplinary proceeding in respect of John Moody

Date	Title
September 29, 2022	Special Meeting of Members
September 16, 2022	MFDA CEO Mark Gordon to step aside, take new position as Strategic Advisor to the MFDA Chair
September 15, 2022	The MFDA Investor Protection Corporation (IPC) – 2022 Annual Report
August 30, 2022	Resignation - Leith Wheeler Investment Funds Ltd.
August 30, 2022	MFDA FY2022 Audited Financial Statements and Management Discussion and Analysis
August 25, 2022	Resignation: TeamMax Investment Corp.
July 21, 2022	Approval of New MFDA Policy No. 11 Proficiency Standards for the Sale of Alternative Mutual Funds and Summary of Comments
July 15, 2022	MFDA Board of Directors Update
July 7, 2022	Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) - Publication of CSA Notice of Approval / Non-Objection
July 7, 2022	Proposed Amendments to MFDA Rules 2.3.2, and 2.3.3 (Limited Trading Authorization) - Publication of CSA Notice of Approval / Non-Objection

Date	Title
September 5, 2018	MFDA Member Intermediary Arrangements
February 26, 2016	Advance Instructions for Account Rebalancing
November 25, 2014	Account Statement Disclosure Respecting MFDA IPC Coverage
September 12, 2013	Branch Supervision
February 13, 2013	Sale of Principal Protected Notes by Approved Persons of MFDA Members
April 16, 2012	Payment of Interest on Client Cash Held in Trust
March 4, 2011	Approved Person Transfers
February 22, 2011	MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)
December 7, 2010	Approved Person Proficiency Requirements
December 3, 2010	Performance Reporting (suspended March 4, 2013)

Date	Title
March 24, 2022	MFDA Warning about “Ontario Invest”
August 13, 2021	MFDA Warning about Crypto Website

New Self-Regulatory Organization Framework (Opens in a new window)

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