Policy
For Distribution to Relevant Parties within your Firm
Proposed MFDA Rules 1.2 (Definitions), 1.26 (Continuing Education), and Proposed MFDA Policy No. 9 – Continuing Education (CE) Requirements
On March 22, 2018, the British Columbia Securities Commission (“BCSC”) published for public comment proposed MFDA Rules 1.2 (Definitions), 1.26 (Continuing Education), and Proposed MFDA Policy No. 9 – Continuing Education (CE) Requirements, which would establish CE requirements for Members and Approved Persons and minimum standards for complying with such requirements. The intent of the proposed new Rules and Policy is to assist Approved Persons in maintaining high standards of professionalism and keeping their industry knowledge current.
Comments
Comments should be made in writing. One copy of each comment letter should be delivered by June 20, 2018 (within 90 days of the BCSC’s publication of the proposed Rules and Policy), addressed to the attention of: Paige Ward, General Counsel, Corporate Secretary and Vice-President, Policy, Mutual Fund Dealers Association of Canada, 121 King St. West, Suite 1000, Toronto, Ontario, M5H 3T9, and one copy addressed to the attention of: Anne Hamilton, Senior Legal Counsel, British Columbia Securities Commission, 701 West Georgia Street, P.O. Box 10142, Pacific Centre, Vancouver, British Columbia, V7Y 1L2.
Those submitting comment letters should be aware that a copy of their comment letter will be made publicly available on the MFDA website at www.mfda.ca.
To view the proposed Rules and Policy, please go to: https://mfda.ca/policy-and-regulation/proposed-regulation-consultations/.
The proposed Rules and Policy may also be viewed on the BCSC’s website.
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