Policy and Regulation

  • Tableau des modifications aux statuts

    Tableau des modifications aux statuts Section Titre Amendement Acte modificatif Date Bulletin No. 1 Préambule La modification permet de clarifier le fait que les définitions figurant à l’article 1 du Statut no 1 s’appliquent aux Règles et aux Principes directeurs de l’ACFM ainsi qu’à ce Statut. Numéro de règlement 13 Jan. 08, 2007 0246-P 1
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  • Tableau des modifications des règles

    Section Titre Amendement Date Numéro de bulletin 1.1.1 Structure de l’entreprise a) i) modifié; a) ii) ajouté 7-Jan-04 0050-M a) ii) modifié 21-Jan-21 0850-P 1.1.3 Ententes relatives aux services a) modifié 5-Déc-03 0050-M 1.1.6 Arrangement entre un remisier et un courtier chargé de comptes a) iv) modifié; b) viii) ix) modifié; x) ajouté; x) xi)
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  • Regulatory Instruments in Effect 12/31/2021

    The following Rules, Policy and Staff Notices have been revised to conform with the CSA’s Client Focused Reforms, Trusted Contact Person and Temporary Hold Rule amendments and will come into effect on December 31, 2021. MFDA Rules/Règles English Français  MFDA Policy No. 2/Principe Directeur No 2 de l’ACFM English (Minimum Standards for Account Supervision) Français
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  • MFDA Rules as at December 31, 2021

    MFDA RULES December 31, 2021 RULE NO. 1 – BUSINESS STRUCTURES AND QUALIFICATIONS 1.1 BUSINESS STRUCTURES 1.1.1 Members No Member or Approved Person (as defined in By-law 1.1) in respect of a Member shall, directly or indirectly, engage in any securities related business (as defined in By-law 1.1) except in accordance with the following: all
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  • Client Focused Reforms (CFR)
    Amendments to NI 31-103

    For comment period ending August 20, 2021 (Bulletin #0863-P) The Investment Funds Institute of Canada (IFIC) Kenmar Associates Responsible Investment Association (RIA) For comment period ended January 18, 2021 (Bulletin #0843-P) Canadian Advocacy Council of CFA Societies Canada Canadian Foundation for Advancement of Investor Rights (FAIR) The Investment Funds Institute of Canada (IFIC)

  • Comment Letters - Account Transfers

    Aviso Wealth B2B Bank Financial Services Inc. British Columbia Compliance Officers Forum BlueRock Wealth Management Inc. The Canadian Advocacy Council of CFA Societies Canada CIBC Securities Inc. David Gorveatte Desjardins Financial Security Investments Inc. Desjardins Group Français English The Federation of Mutual Fund Dealers Fidelity Investments Canada Goldstein Financial Investments Inc. Hub Capital Inc. The
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  • Table of MFDA By-Law Amendments

    Section Title Amendment Amending Instrument Date Bulletin No. 1 Preamble Expressly reference Rules and Policies By-Law No. 13 8-Jan-07 0246-P 1 Definitions Definition of “Act” amended By-Law No. 20 26-Sep-14 0615-P 1 Definitions Definition of “Appointments Committee” added By-Law No. 6 5-Dec-03 0048-M 1 Definitions Definition of “Approved Person” By-Law No. 19 6-Dec-13 0587-P 1
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