BULLETIN #0760-M

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Ken Woodard

Director, Communications & Membership Services

(416) 943-4602

kwoodard@mfda.ca

BULLETIN #0760-M

October 19, 2018

Potential Canadian Postal Strike

Under MFDA Rules and securities legislation, Members are required to deliver certain documents to clients including trade confirmations and account statements.

Members are expected to make reasonable efforts to meet their obligations to clients with respect to trade confirmations, account statements and other client documentation. Members should advise clients that there will be a delay in receipt of documents by mail and discuss alternate arrangements with the client in the event that the document is required on a more urgent basis. Alternative arrangements may include e-mail, fax and commercial delivery to branch offices for client pick-up. Members should ensure that the method of delivery has the security necessary to safe guard client’s privacy.

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