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
#0740-CJanuary 30, 2018Compliance CRM2 Report
#0739-CJanuary 16, 2018Compliance 2018 Compliance and Member Education Priorities
#0738-PJanuary 4, 2018Policy Approval of Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
#0737-MDecember 20, 2017Membership Information 2018 Financial Filing Deadlines
#0736-MDecember 7, 2017Membership Information Complying with Requirements regarding the Ombudsman for Banking Services and Investments (OBSI)
#0735-MDecember 1, 2017Membership Information Annual General and Special Meeting of Members
#0734-MNovember 16, 2017Resignation Superstar Investment Corp.
#0733-MOctober 25, 2017Membership Information The MFDA Investor Protection Corporation (IPC) – 2017 Annual Report
#0732-POctober 19, 2017Policy Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
#0731-MOctober 2, 2017Notice of Intention to Resign Financial Decisions Inc.
#0730-PSeptember 14, 2017Policy Summary of Comments – MFDA Bulletin #0711-P Request for Comments on the Development of Continuing Education Requirements
#0729-PSeptember 5, 2017Policy Publication of Final Form Amendments to NI 31-103
#0728-MAugust 10, 2017Amalgamation HollisWealth Advisory Services Inc. and Investia Financial Services Inc.
#0727-MJuly 20, 2017Notice of Intention to Resign International Capital Management Inc.
#0726-PJuly 20, 2017Policy Approval of New MFDA Policy No. 8 – Proficiency Standard for Approved Persons Selling Exchange Traded Funds (“ETFs”)
#0725-CJuly 12, 2017Compliance OSC Staff Notice 33-748 - Annual Summary Report for Dealers, Advisers and Investment Fund Managers
#0724-PJuly 4, 2017Policy Proposed MFDA Rule 2.13 (Disclosure of MFDA Membership) and Policy No. 10 Disclosure of MFDA Membership
#0723-MJune 26, 2017Notice of Intention to Resign Superstar Investment Corp.
#0722-MMay 26, 2017Membership Information New Member - TWMG Inc.
#0721-CMay 23, 2017Compliance MFDA Client Research Report
#0720-MMay 8, 2017Resignation Everest Financial Planning Inc.
#0719-EApril 20, 2017Enforcement MFDA Whistleblower Program
#0718-CMarch 29, 2017Compliance Cybersecurity Webcast
#0717-MMarch 23, 2017Membership Information OBSI Joint Regulators Committee Annual Report for 2016
#0716-MFebruary 22, 2017Membership Information Canadian Investment Industry’s Move to T+2 Settlement
#0715-MFebruary 22, 2017Membership Information 2016 Year in Review and 2017 Initiatives
#0714-PJanuary 31, 2017Policy MFDA Staff Notice #0066 - Signature Falsification
#0713-PJanuary 24, 2017Policy Suitability - Research Paper on Canadian Securities Regulatory Authority Decisions
#0712-PJanuary 19, 2017Policy Approval of Amendments to Rule 2.3 (Power of Attorney/Limited Trading Authorization/Discretionary Trading)
#0711-PJanuary 12, 2017Policy Request for Comments on the Development of Continuing Education Requirements