MFDA Bulletins are publications intended for information purposes. The MFDA issues Bulletins related to Compliance, Enforcement, Membership and Policy matters. MFDA Bulletins are available in both French and English, and can be viewed or printed by clicking on the appropriate link.
| Bulletin # | Date | Type | Description |
|---|---|---|---|
| #0863-P | June 21, 2021 | Policy | Publication for Comment – CFR Conforming Changes to MSN-0069 (Suitability) |
| #0862-M | June 15, 2021 | Membership Information | Canada Deposit Insurance Corporation (CDIC) New Broker/Dealer Requirements for Nominee Name Client Deposits |
| #0861-C | June 4, 2021 | Compliance | Account Transfers - Summary of Comments |
| #0860-M | May 25, 2021 | Membership Information | TFSA Maximizer Schemes |
| #0858-P | May 7, 2021 | Policy | OSC Adopts Ban on the use of Deferred Sales Charge |
| #0857-ME | April 27, 2021 | Member Education | Vulnerability and Financial Advice: A Broader Look at the Factors That May Increase the Risk of Client Vulnerability |
| #0856-P | March 16, 2021 | Policy | MFDA Releases Roadmap for the Design and Implementation of a New Modern SRO |
| #0855-M | February 24, 2021 | Membership Information | 2021 Compliance and Member Education Priorities |
| #0854-M | February 18, 2021 | Membership Information | MFDA Technology Webinar Series: Legal Aspects of Cybersecurity and Cyber-Risk Management |
| #0853-P | February 4, 2021 | Policy | CSA Publication for Comment of Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information |
| #0852-P | February 2, 2021 | Policy | Capital Markets Modernization Taskforce Final Report - SRO Recommendations |
| #0851-P | January 28, 2021 | Policy | CSA Issues Blanket Relief – Additional Proficiency Options for Distribution of Alternative Funds |
| #0850-P | January 21, 2021 | Policy | Approval of Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures – Members) |
| #0849-M | January 18, 2021 | Amalgamation | Amalgamation - Credential Asset Management Inc. and Qtrade Asset Management Inc. |
| #0848-M | January 4, 2021 | Membership Information | 2021 Financial Filing Deadlines |
| #0847-P | December 24, 2020 | Policy | Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 Limited Trading Authorization |
| #0846-C | December 17, 2020 | Compliance | Mutual Fund Dealers Association – 2021 Client Research Project |
| #0845-P | December 8, 2020 | Policy | Update Regarding Requests for Paper Documents and Original Signatures |
| #0844-M | December 4, 2020 | Membership Information | Annual General and Special Meeting of Members |
| #0843-P | November 19, 2020 | Policy | Client Focused Reforms (CFR) Amendments to NI 31-103 – Publication of Conforming Changes to MFDA Regulatory Instruments |
| #0842-M | November 16, 2020 | Membership Information | MFDA Client Research Report 2020 |
| #0841-M | November 12, 2020 | Membership Information | MFDA Warns of Fraudulent Phishing Emails Targeting MFDA Members |
| #0840-M | October 26, 2020 | Membership Information | MFDA Wealth Management Footprint Report |
| #0839-M | October 19, 2020 | Membership Information | MFDA 2020 Annual Report |
| #0838-M | October 2, 2020 | Membership Information | MFDA Webinar: The Impacts of COVID-19 on the Investment Industry |
| #0837-M | September 23, 2020 | Membership Information | MFDA Technology Webinar Series: Building an Incident Response Plan for the SMB |
| #0836-M | September 17, 2020 | Membership Information | The MFDA Investor Protection Corporation (IPC) – 2020 Annual Report |
| #0835-M | September 14, 2020 | Notice of Intention to Resign | Wealthsimple Advisor Services Inc. |
| #0834-P | September 8, 2020 | Policy | MFDA Submission on Ontario Capital Markets Modernization Taskforce Report |
| #0833-M | August 27, 2020 | Membership Information | OBSI Joint Regulators Committee Annual Report for 2019 |