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BULLETIN #0806-P
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Paige Ward

General Counsel, Corporate Secretary and Vice President, Policy

(416) 943-5838

pward@mfda.ca

BULLETIN #0806-P

January 30, 2020

Policy

For Distribution to Relevant Parties within your Firm

Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons)

On January 30, 2020 the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 1.1.2. The objective of the proposed amendments is to ensure that Rule 1.1.2 is consistent with corresponding wording in the MFDA Terms and Conditions of Recognition, in expressly requiring compliance with applicable securities legislation relating to the operations, standards of practice and business conduct of MFDA Members and Approved Persons.

Comments

Comments should be made in writing. One copy of each comment letter should be delivered by June 15, 2020 (within 135 days of the BCSC’s publication of the proposed amendments), addressed to the attention of: Paige Ward, General Counsel, Corporate Secretary and Vice-President, Policy, Mutual Fund Dealers Association of Canada, 121 King St. West, Suite 1000, Toronto, Ontario, M5H 3T9, and one copy addressed to the attention of: Anne Hamilton, Senior Legal Counsel, British Columbia Securities Commission, 701 West Georgia Street, P.O. Box 10142, Pacific Centre, Vancouver, British Columbia, V7Y 1L2.

Those submitting comment letters should be aware that a copy of their comment letter will be made publicly available on the MFDA website at www.mfda.ca.

To view the proposed amendments, please go to www.mfda.ca.

The proposed amendments may also be viewed on the BCSC’s website.

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