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

Date	Title
November 29, 2022	MFDA announces disciplinary proceeding in respect of Paul Walker (News Release)
November 29, 2022	MFDA reschedules interim appearance in the matter of Clive Wilkins (News Release)
November 28, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Fahad Izhar (News Release)
November 28, 2022	MFDA reschedules Hearing on the Merits in the matter of Jingshan (Sarah) He (News Release)
November 25, 2022	MFDA announces settlement hearing to take place in the matter of Dennis Duclos (News Release)
November 25, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Timothy Laskey (News Release)
November 25, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Sandra Rizovska-Spasik (News Release)
November 24, 2022	MFDA Hearing Panel accepts settlement agreement with Wealthsimple Advisor Services Inc. (News Release)
November 24, 2022	MFDA schedule dates for Hearing on the Merits in the matter of Charles Hogg (News Release)
November 24, 2022	Canadian securities regulators publish approval notices for new SRO and CIPF (Bulletin)

Date	Title
November 29, 2022	MFDA announces disciplinary proceeding in respect of Paul Walker
November 29, 2022	MFDA reschedules interim appearance in the matter of Clive Wilkins
November 28, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Fahad Izhar
November 28, 2022	MFDA reschedules Hearing on the Merits in the matter of Jingshan (Sarah) He
November 25, 2022	MFDA announces settlement hearing to take place in the matter of Dennis Duclos
November 25, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Timothy Laskey
November 25, 2022	MFDA Hearing Panel issues Reasons for Decision in the matter of Sandra Rizovska-Spasik
November 24, 2022	MFDA Hearing Panel accepts settlement agreement with Wealthsimple Advisor Services Inc.
November 24, 2022	MFDA schedule dates for Hearing on the Merits in the matter of Charles Hogg
November 24, 2022	Canadian securities regulators publish approval notices for new SRO and CIPF

Date	Title
November 24, 2022	Canadian securities regulators publish approval notices for new SRO and CIPF
November 24, 2022	Integration Cost Recovery Fee Model Guideline
November 24, 2022	MFDA Interim Fee Model
November 22, 2022	Canadian Institute of Financial Planning (“CIFP”) recognized by MFDA as a Third Party Accreditor
November 3, 2022	OBSI Joint Regulators Committee Annual Report for 2021
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

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

Mutual Fund Dealer Rules and Investment Dealer and Partially Consolidated Rules were published on November 24, 2022.

FAQs to the Draft New SRO Interim Rules and New SRO Investor Advisory Panel Draft Terms of Reference

Link to information on the MFDA Whistleblower Program