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
December 7, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of Susan Suet Man Cheung (News Release)
December 7, 2023	CIRO to Hold Sanctions Hearing for Mohammad Movassaghi (News Release)
December 7, 2023	CIRO Hearing Panel sets date for continuation of the Hearing on the Merits in the matter of Zahir Lehri (News Release)
December 6, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of Jennifer Ajin (News Release)
December 5, 2023	CIRO schedules appearance in the matter of Brent Polischuk (News Release)
December 5, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of George Yamamoto (News Release)
December 1, 2023	CIRO Hearing Panel amends hearing dates in the matter of Paul Walker (News Release)
November 30, 2023	CIRO Hearing Panel issues Decision on Sanctions and Reasons in the matter of Nicholas Andrew Rivet (News Release)
November 30, 2023	CIRO Hearing Panel makes findings of misconduct and imposes sanctions against Jennifer Beh (News Release)
November 28, 2023	CIRO Hearing Panel reserves judgment in the matter of George Maxim Lukiwski (News Release)

Date	Title
December 7, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of Susan Suet Man Cheung
December 7, 2023	CIRO to Hold Sanctions Hearing for Mohammad Movassaghi
December 7, 2023	CIRO Hearing Panel sets date for continuation of the Hearing on the Merits in the matter of Zahir Lehri
December 6, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of Jennifer Ajin
December 5, 2023	CIRO schedules appearance in the matter of Brent Polischuk
December 5, 2023	CIRO Hearing Panel issues Reasons for Decision in the matter of George Yamamoto
December 1, 2023	CIRO Hearing Panel amends hearing dates in the matter of Paul Walker
November 30, 2023	CIRO Hearing Panel issues Decision on Sanctions and Reasons in the matter of Nicholas Andrew Rivet
November 30, 2023	CIRO Hearing Panel makes findings of misconduct and imposes sanctions against Jennifer Beh
November 28, 2023	CIRO Hearing Panel reserves judgment in the matter of George Maxim Lukiwski

Date	Title
December 30, 2022	Continuing Education (CE) Program Update
December 30, 2022	MFDA Client Research Report 2022
December 29, 2022	2023 Financial Filing Deadlines
December 29, 2022	Revised MFDA Staff Notice MSN-0040 Outside Activity
December 12, 2022	Resignation - Wealthsimple Advisor Services Inc.
December 9, 2022	MFDA IPC Integration Cost Recovery Assessment Model Guidelines
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

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)