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
#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
#0788-PJuly 19, 2019Policy Continuing Education (CE) Accreditation Process - Request for Comments
#0787-MJune 11, 2019Notice of Intention to Resign Notice of Intention to Resign - Acadia Financial Services Inc.
#0786-MMay 7, 2019Resignation Lincluden Mutual Fund Dealer Inc.
#0785-PApril 15, 2019Policy MFDA Policy Advisory Committee – New Members
#0784-MApril 15, 2019Member Information New Member - Agora Dealer Services Corp.
#0783-CApril 10, 2019Compliance Approved Person Targeted Review
#0782-PApril 4, 2019Policy Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading)
#0781-PMarch 28, 2019Policy Proposed Amendment to MFDA By-Law No. 1, Subsection 24.A (Ombudservice)
#0780-PMarch 21, 2019Policy Proposed definition of “records” in section 1 of MFDA Bylaw No. 1 and proposed amendments to section 22 (Examinations and Investigatory Powers) of MFDA Bylaw No. 1
#0779-MMarch 18, 2019Member Information MFDA Warns of Fraudulent Phishing Emails Targeting MFDA Members
#0778-PMarch 14, 2019Policy Proposed Amendments to MFDA By-law No.1 - Sections 3.3 (Election and Term), 3.6.1 (Governance Committee), 4.7 (Quorum)
#0777-MMarch 5, 2019Member Information New Member - Wealthforce Inc.
#0776-CMarch 5, 2019Compliance Conflicts of Interest – Promotional Activities
#0775-PFebruary 25, 2019Policy Applications for Membership on Policy Advisory Committee
#0774-MFebruary 25, 2019Change of Name Change of Name Bulletin #0774-M - Fiera Capital Funds Inc.
#0773-PFebruary 25, 2019Policy Revised Limited Trading Authorization Form and Guidelines for Individual and Joint Accounts
#0772-MFebruary 19, 2019Membership Information MFDA Warns of Fraudulent Phishing Emails Targeting MFDA Members
#0771-MFebruary 6, 2019Member Information MFDA Initiatives and Priorities – 2019