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
#0770-MJanuary 18, 2019Notice of Intention to Resign Lincluden Mutual Fund Dealer Inc.
#0769-MJanuary 2, 2019Resignation Banwell Financial Inc.
#0768-PDecember 27, 2018Policy Approval of Housekeeping Amendments to MFDA Form 1
#0767-MDecember 17, 2018Membership Information 2019 Financial Filing Deadlines
#0766-MNovember 30, 2018Notice of Intention to Resign Notice of Intention to Resign - Sinclair-Cockburn Financial Services Inc.
#0765-MNovember 29, 2018Membership Information Annual General Meeting of Members
#0764-PNovember 20, 2018Policy MFDA Bulletin #0748-P Discussion Paper on Expanding Cost Reporting – Summary of Comments
#0763-CNovember 13, 2018Compliance Cybersecurity Assessment Program
#0762-POctober 31, 2018Policy Publication of Revised MFDA Sanction Guidelines
#0761-MOctober 19, 2018Membership Information The MFDA Investor Protection Corporation (IPC) – 2018 Annual Report
#0760-MOctober 19, 2018Membership Information Potential Canadian Postal Strike
#0759-MOctober 4, 2018Membership Information New Member - Wealthsimple Advisor Services Inc.
#0758-MOctober 2, 2018Resignation State Farm Investor Services (Canada) Co.
#0757-PSeptember 5, 2018Policy Publication of Guidance on MFDA Member Intermediary Arrangements
#0756-MAugust 31, 2018Resignation Financial Decisions Inc.
#0755-CJuly 9, 2018Compliance 2018 Client Research Project - Summary of Comments and Next Steps
#0754-MJuly 9, 2018Member Information MFDA Outreach
#0753-MJune 19, 2018Membership Information MFDA Strategic Plan (2018 - 2022) – Achieving Better Outcomes for Canadians
#0752-MJune 14, 2018Member Information New Member - Belay Wealth Inc.
#0751-MJune 13, 2018Membership Information New Member - Amerity Wealth Management Inc.
#0750-MJune 7, 2018Regional Councils Regional Council Update
#0749-PMay 23, 2018Policy Request for Comment on Proposed MFDA Sanction Guidelines
#0748-PApril 19, 2018Policy Discussion Paper on Expanding Cost Reporting
#0747-PApril 12, 2018Policy Approval of New MFDA Rule 2.13 (Disclosure of MFDA Membership) and New MFDA Policy No. 10 Disclosure of MFDA Membership
#0746-CApril 11, 2018Compliance Mutual Fund Dealers Association – 2018 Client Research Project
#0745-MMarch 29, 2018Membership Information OBSI Joint Regulators Committee Annual Report for 2017
#0744-CMarch 29, 2018Compliance Electronic Communications Review
#0743-PMarch 22, 2018Policy Proposed MFDA Rules 1.2 (Definitions), 1.26 (Continuing Education), and Proposed MFDA Policy No. 9 – Continuing Education (CE) Requirements
#0742-MMarch 14, 2018Regional Councils Call for Nominations to Regional Councils
#0741-PMarch 8, 2018Policy Proposed MFDA Staff Notice on MFDA Member Intermediary Arrangements - Publication for Comment