News and Publications

  • CSA, IIROC and MFDA update on implementation of new SRO

    Good morning, We are contacting you today with a status update on work that is underway to implement the new, single enhanced self-regulatory organization (SRO) and new investor protection fund (IPF). Work is progressing well and timing is on track for a completion date of December 31, 2022. This is in keeping with the timeline
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  • Position Specification: Chief Executive Officer

    New Self-Regulatory Organization (SRO) Chief Executive Officer Our Client The Canadian Securities Administrators (CSA) have established a special joint committee (SJC) for the purpose of conducting the search for the Chief Executive Officer (CEO) for a new single enhanced self-regulatory organization (New SRO), as announced and described in the CSA Position Paper 25-404 – New
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  • Position Specification: Board Director

    New Self-Regulatory Organization (SRO) Board Director Our Client On August 3, 2021, the Canadian Securities Administrators (CSA) issued Position Paper 25-404 – New Self-Regulatory Organization Framework (CSA Position Paper) announcing that they would be implementing a new single enhanced self-regulatory organization (New SRO). The New SRO will consolidate the functions of the Investment Industry Regulatory
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  • Role Descriptions - New Self-Regulatory Organization

    The Canadian Securities Administrators has established a Special Joint Committee to lead the recruitment process for the Board of Directors and CEO of the new self-regulatory organization. The Special Joint Committee has retained Russell Reynolds Associates, a global leadership advisory and search firm, to assist with recruitment. Interested candidates can find the role descriptions here:
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  • Other Reports & Research

    Publication Date Issued Vulnerability and Financial Advice: A Broader Look at the Factors That May Increase the Risk of Client Vulnerability April 27, 2021 Client Research Report 2020 November 16, 2020 MFDA Wealth Management Footprint October 26, 2020 What Canadians Want in a Modern SRO September 8, 2020 Client Research Report May 23, 2017 Suitability
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  • New Self-Regulatory Organization Framework

    Date Document Type Description May 12, 2022 News Release Canadian securities regulators announce boards of new SRO and IPF and seek comment on draft documents Bulletin #0904-P CSA Announcement of boards for new SRO and IPF and publication of draft documents for comment Frequently Asked Questions New SRO Investor Advisory Panel FAQ Frequently Asked Questions
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  • CUSTODIAL AGREEMENTS

    Contact: Samantha Duffield Manager, Financial Compliance Phone: (416) 943-4662 Email: sduffield@mfda.ca Custodial Agreements | Additions to List | Deletions from List | Name Changes & Mergers The following is an alphabetical listing of prescribed Custodial Agreements executed as of May 31, 2022 between the Mutual Fund Dealers Association of Canada (MFDA), as bare trustee on
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