Bulletins

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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 #DateTypeDescription
#0818-PMarch 26, 2020Policy Proposed Amendments to MFDA Policy No. 9 Continuing Education (“CE”) Requirements
#0817-MMarch 25, 2020Membership Information Members as an Essential Service – Frequently Asked Questions (FAQs)
#0816-MMarch 19, 2020Membership Information Cybercriminals Currently Exploiting the COVID-19 Pandemic
#0815-MMarch 13, 2020Membership Information Coronavirus disease (COVID-19)
#0814-MMarch 9, 2020Membership Information Coronavirus disease (COVID-19)
#0813-MMarch 9, 2020Regional Councils Call for Nominations to Regional Councils
#0812-PMarch 5, 2020Policy Proposed Amendments to NI 31-103 Re: Enhanced Protection of Older and Vulnerable Clients
#0811-PFebruary 21, 2020Policy Proposed OSC Rule 81-502 – Restrictions on the Use of the Deferred Sales Charge (DSC) Option for Mutual Funds
#0810-PFebruary 20, 2020Policy Multilateral CSA Amendments to NI 81-105 to Ban DSC Option
#0809-MJanuary 30, 2020Membership Information MFDA Special Report on Securities Industry Self-Regulation
#0808-PJanuary 30, 2020Policy MFDA Bulletin #0788-P – Continuing Education (CE) Accreditation Process - Summary of Comments
#0807-PJanuary 30, 2020Policy Approval of Proposed Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee), 4.7 (Quorum)
#0806-PJanuary 30, 2020Policy Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons)
#0805-EJanuary 28, 2020Enforcement Update on Marilyn Dianne Stuart and W.H. Stuart Mutuals Ltd.
#0804-MJanuary 23, 2020Member Information 2020 Compliance and Member Education Priorities
#0803-MJanuary 13, 2020Membership Information 2020 Financial Filing Deadlines
#0802-MJanuary 3, 2020Membership Information New Member - Co-operators Financial Investment Services Inc.
#0801-MJanuary 2, 2020Change of Name Change of Name - Lawton Partners Financial Planning Services Limited
#0800-PDecember 12, 2019Policy Approval of Proposed Amendment to MFDA By-Law No. 1, Subsection 24.A (Ombudservice)
#0799-MNovember 29, 2019Membership Information Annual General and Special Meeting of Members
#0798-MNovember 14, 2019Member Information 2019 Annual Report
#0797-POctober 25, 2019Policy Seniors and Vulnerable Clients
#0796-POctober 24, 2019Policy Proposed Amendments to MFDA Rule 1.1.1(a) Business Structures - Members
#0795-POctober 3, 2019Policy Client Focused Reforms – Publication of Final Amendments to National Instrument 31-103
#0794-MOctober 1, 2019Member Information The MFDA Investor Protection Corporation (IPC) – 2019 Annual Report
#0793-PSeptember 26, 2019Policy Proposed MFDA Continuing Education (CE) Requirements – Notice of CSA Approval/Non-Objection
#0792-MSeptember 25, 2019Membership Information MFDA Member Outreach Initiative
#0791-MSeptember 17, 2019Notice of Intention to Resign First Affiliated Securities Inc.
#0790-MAugust 26, 2019Resignation Sinclair-Cockburn Financial Services Inc.
#0789-MAugust 15, 2019Membership Information OBSI Joint Regulators Committee Annual Report for 2018

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