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

Dec 8, 2021

MFDA Hearing Panel accepts settlement agreement with Nancy Myers (News Release)

Dec 8, 2021

MFDA Hearing Panel accepts settlement agreement with Gregory Myers (News Release)

Dec 7, 2021

MFDA Hearing Panel make findings of misconduct against Guy Dudding (News Release)

Dec 7, 2021

MFDA amends first appearance start time in the matter of Robert Watts (News Release)

Dec 6, 2021

MFDA issues Notice of Settlement Hearing in respect of Charles Rolland (News Release)

Dec 6, 2021

MFDA announces disciplinary proceeding in respect of Nicholas Rivet (News Release)

Dec 3, 2021

MFDA announces disciplinary proceeding in respect of James Lewis (News Release)

Dec 3, 2021

Bulletin #0887-M - Annual General and Special Meeting of Members (Bulletin)

Dec 3, 2021

MFDA announces settlement hearing to take place in the matter of Joshua O’Brien (News Release)

Dec 3, 2021

MFDA announces disciplinary proceeding in respect of Paul Gowan (News Release)

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)

Apr 4, 2019

Proposed Amendments to MFDA Rule 2.3.1(b)

Dec 8, 2021

MFDA Hearing Panel accepts settlement agreement with Nancy Myers

Dec 8, 2021

MFDA Hearing Panel accepts settlement agreement with Gregory Myers

Dec 7, 2021

MFDA Hearing Panel make findings of misconduct against Guy Dudding

Dec 7, 2021

MFDA amends first appearance start time in the matter of Robert Watts

Dec 6, 2021

MFDA issues Notice of Settlement Hearing in respect of Charles Rolland

Dec 6, 2021

MFDA announces disciplinary proceeding in respect of Nicholas Rivet

Dec 3, 2021

MFDA announces disciplinary proceeding in respect of James Lewis

Dec 3, 2021

MFDA announces settlement hearing to take place in the matter of Joshua O’Brien

Dec 3, 2021

MFDA announces disciplinary proceeding in respect of Paul Gowan

Dec 2, 2021

MFDA issues Notice of Settlement Hearing in respect of Credential Asset Management Inc.

Dec 3, 2021

#0887-M - Annual General and Special Meeting of Members

Dec 1, 2021

#0886-ME - Implementation of Continuing Education (CE) Requirements

Nov 25, 2021

#0885-P - Publication for Comment – Proposed New Policy No. 11 (Proficiency Standards for the Sale of Alternative Mutual Funds)

Nov 18, 2021

#0884-P - Approval of Housekeeping Amendments to MFDA Rules 2.2 (Client Accounts) and 5.1 (Requirement for Records)

Nov 16, 2021

#0883-ME - FP Canada recognized by MFDA as a Third Party Accreditor

Nov 10, 2021

#0882-M - New Member - C.S.T. Spark Inc.

Oct 29, 2021

#0881-ME - New Continuing Education Guidance for Approved Persons and Providers

Oct 15, 2021

#0880-M - MFDA 2021 Annual Report

Sep 21, 2021

#0879-M - The MFDA Investor Protection Corporation (IPC) – 2021 Annual Report

Sep 15, 2021

#0878-ME - Webinar Hosted by NPC DataGuard: 10 Steps to Protect Your Business from Ransomware

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