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 |
|---|---|---|---|
| #0898-M | January 10, 2022 | Amalgamation | Amalgamation - Excel Private Wealth Inc. and Quadrus Investment Services Ltd. |
| #0897-M | January 5, 2022 | Membership Information | New Member - Designed Investments Inc. |
| #0896-M | January 4, 2022 | Membership Information | 2022 Financial Filing Deadlines |
| #0895-P | December 31, 2021 | Policy | Trusted Contact and Temporary Hold Amendments to MFDA Rules now in Effect |
| #0894-P | December 31, 2021 | Policy | CFR Conforming Amendments to MFDA Regulatory Instruments Now in Effect |
| #0893-P | December 23, 2021 | Policy | Withdrawal of Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) |
| #0892-P | December 23, 2021 | Policy | Withdrawal of Proposed Amendments to MFDA Rules 2.3.1(b) (Discretionary Trading) and 2.2.5 (Relationship Disclosure) |
| #0891-P | December 21, 2021 | Policy | CFR Conforming Amendments to MSN-0069 - (Suitability): Summary of Comments |
| #0890-P | December 20, 2021 | Policy | CSA Publication of Final Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information |
| #0889-P | December 17, 2021 | Policy | Client Focused Reforms, Trusted Contact Persons/Temporary Holds: December 31, 2021 Effective Date for Conforming Changes to MFDA Regulatory Instruments |
| #0888-ME | December 10, 2021 | Member Education | MFDA Member Regulation Webcast |
| #0887-M | December 3, 2021 | Membership Information | Annual General and Special Meeting of Members |
| #0886-ME | December 1, 2021 | Member Education | Implementation of Continuing Education (CE) Requirements |
| #0885-P | November 25, 2021 | Policy | Publication for Comment – Proposed New Policy No. 11 (Proficiency Standards for the Sale of Alternative Mutual Funds) |
| #0884-P | November 18, 2021 | Policy | Approval of Housekeeping Amendments to MFDA Rules 2.2 (Client Accounts) and 5.1 (Requirement for Records) |
| #0883-ME | November 16, 2021 | Member Education | FP Canada recognized by MFDA as a Third Party Accreditor |
| #0882-M | November 10, 2021 | Membership Information | New Member - C.S.T. Spark Inc. |
| #0881-ME | October 29, 2021 | Member Education | New Continuing Education Guidance for Approved Persons and Providers |
| #0880-M | October 15, 2021 | Membership Information | MFDA 2021 Annual Report |
| #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 |