Skip to Main Content

Bulletin #0579-P

Policy
Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans)

Contact: Paige Ward
BULLETIN #0579 – P
General Counsel & Vice-President, Policy
October 10, 2013
Phone: 416-943-5838
E-mail: pward@mfda.ca

MFDA Bulletin

Policy

For Distribution to Relevant Parties within your Firm

Proposed Amendments to MFDA Rules 2.2.5 (Relationship
Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade
Confirmations – Automatic Payment Plans)

On October 10, 2013, the British Columbia Securities Commission (“BCSC”) published for public
comment proposed amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4
(Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans).
The proposed amendments are conforming in nature and are intended to ensure consistency of
MFDA Rules with the revised requirements established under National Instrument 31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”).

Comments should be made in writing. One copy of each comment letter should be delivered
by December 9, 2013 (within 60 days of the BCSC’s publication of the proposed
amendments), addressed to the attention of Paige Ward, General Counsel & 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 Kate (Lioubar) Holzschuh,
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 amendments, please go to:
https://mfda.ca/regulation/propAmend/PropAmendRules225_244_542.pdf.

The proposed amendments may also be viewed on the BCSC’s website at:
http://www.bcsc.bc.ca/mfda.aspx?id=18272.

DOCs# 356640