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Bulletin #0597-M

Membership Information
Call for Nominations to Regional Councils

Contact: Rohit Kumar
Legal Counsel, Director of Regional Councils
March 3, 2014
Office of the Corporate Secretary

Phone: 416-945-5136

MFDA Bulletin

Regional Councils

For Distribution to Relevant Parties within your Firm

Call for Nominations to Regional Councils

Members are invited to nominate candidates for election to the MFDA’s four Regional Councils
by no later than March 31, 2014. To be eligible, a nominee must be (i) a resident of the
applicable Region; and (ii) a partner, officer, director, employee or agent of a Member in that

Regional Council
Provinces in Region
Positions Available
Nomination Form

Nova Scotia, New

Brunswick, Prince Edward
Island, Newfoundland and
Nomination Form
Ontario, Quebec
Nomination Form
Alberta, Saskatchewan,
Manitoba, Northwest
Nomination Form
Territories & Nunavut
British Columbia, Yukon
Nomination Form

Elected representatives serve two-year terms of office and are eligible to be selected as members
of three-person Hearing Panels that adjudicate MFDA disciplinary proceedings. In addition, the
Chair of each Regional Council is eligible to become an ex officio member of the MFDA’s
Policy Advisory Committee which provides advice and comment on the legal, regulatory and
market implications of MFDA Rules, policies and operations.

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A Member may nominate up to two (2) candidates in each Region in which the Member has a
head office or at least one branch office.

In addition to the eligibility criteria above, nominees should have a strong background in
compliance and have held senior positions within the industry and their Member firms for a
number of years. Further information regarding the Regional Councils can be found in sections
17-19 of MFDA By-law No. 1.

Election Process

If the number of nominees in any Region exceeds the number of positions available, the MFDA
will coordinate a mail-in ballot process to elect representatives to each such Regional Council.

If an election is required, the names of all eligible nominees will be put on a ballot and sent to
Members in the applicable Region, along with a brief profile of each nominee. Each Member in
the Region will then be entitled to vote for one or more of the nominees (up to the maximum
number of positions available).

Terms of Office

The two-year terms of office for successful candidates will commence on June 6, 2014.

Submitting Nomination Forms

Completed Nomination Forms must be submitted by no later than Monday, March 31, 2014 at
5:00 p.m. (Eastern):

Mail: Rohit Kumar

Legal Counsel, Director of Regional Councils

Office of the Corporate Secretary

Mutual Fund Dealers Association of Canada

121 King Street West, Suite 1000

Toronto, Ontario

M5H 3T9


Fax: 416-361-9781

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