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 |
|---|---|---|---|
| 0879-M | September 21, 2021 | Membership Information | The MFDA Investor Protection Corporation (IPC) – 2021 Annual Report |
| #0878-ME | September 15, 2021 | Member Education | Webinar Hosted by NPC DataGuard: 10 Steps to Protect Your Business from Ransomware |
| #0877-M | September 13, 2021 | Change of Name | Change of Name - Altimum Mutuals Inc. to Oakhaven Wealth Advisors Inc. |
| #0876-P | September 2, 2021 | Policy | Client Focused Reforms (CFR) – CSA Notice of Approval / Non-Objection for Conforming Changes to MFDA Regulatory Instruments |
| #0875-M | August 24, 2021 | Resignation | Resignation - Acadia Financial Services Inc. |
| #0874-M | August 11, 2021 | Membership Information | Webcast: Improving Fee Disclosures for Canadian Investors |
| #0873-M | August 5, 2021 | Membership Information | OBSI Joint Regulators Committee Annual Report for 2020 |
| #0872-P | August 3, 2021 | Policy | Publication of CSA Position Paper 25-404 – New Self-Regulatory Organization Framework |
| #0871-M | July 29, 2021 | Notice of Intention to Resign | Notice of Intention to Resign - Y.I.S. Financial Inc. |
| #0870-M | July 26, 2021 | Membership Information | Research Report: Improving Fee Disclosures for Canadian Investors |
| #0869-C | July 26, 2021 | Compliance | Performance Reporting Targeted Review |
| #0868-ME | July 22, 2021 | Member Education | CERTS – Onboarding Plan |
| 0867-ME | July 22, 2021 | Member Education | Approval of MFDA Continuing Education (CE) Requirements |
| #0866-P | July 15, 2021 | Policy | Publication of Final Amendments to Enhance Protection of Older and Vulnerable Clients - National Instrument 31-103 (NI 31-103) |
| #0865-M | July 2, 2021 | Amalgamation | Amalgamation - Investia Financial Services Inc. and FundEX Investments Inc. |
| #0864-P | June 30, 2021 | Policy | Client Focused Reforms (CFR) – Implementation of Requirements Related to Conflicts of Interest |
| #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. |