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Bulletin #0618-M

Membership Information
Annual General and Special Meeting of Members

Contact: Paige L. Ward
BULLETIN #0618 – M
General Counsel, Corporate Secretary & Vice-President, Policy
December 4, 2014
Phone: 416-943-5838

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

Annual General and Special Meeting of Members

The MFDA held its 2014 Annual General and Special Meeting of Members (“AGM”) on
December 3, 2014.

At the AGM, Steven Glover, Christopher Nicholls and Ross Stringer were approved as Public
Directors of the Corporation, each to hold office for a three-year term or until their successors
have been appointed. Rick Annaert, Steven Donald and Tuula Jalasjaa were approved as Industry
Directors of the Corporation, each to hold office for a two-year term or until their successors
have been appointed. Members also approved the appointment of Deloitte LLP as auditors for
the Corporation.

In addition, Members approved proposed amendments to MFDA Rules 2.8.3 (Rates of Return),
5.3 (Client Reporting), 5.4 (Trade Confirmations), 2.2.5 (Relationship Disclosure), 2.4.3
(Operating Charges), 2.4.4 (Transaction Fees or Charges) and the MFDA Financial
Questionnaire & Report (Form 1), as set out in the meeting materials circulated with the Notice
of Meeting. These changes are necessary to adopt requirements established under the Client
Relationship Model Phase 2 (“CRM2”) amendments to National Instrument 31-103 Registration
Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) and the
Companion Policy to the Instrument. The proposed amendments to MFDA Rules and Form 1 are
currently awaiting approval by the recognizing securities commissions and will have the same
effective date as similar requirements under NI 31-103.

Effective December 3, 2014, the following individuals are members of the MFDA Board of

Public Directors

Steven Glover, FCA, MBA
Christopher Nicholls, LLB., LLM.
Chief Financial Officer
Stephen Dattels Chair in Corporate Finance Law
Clearview Resources Ltd.
Western University
Canmore, Alberta
London, Ontario

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Lea Hansen, CFA
Dawn Russell, Q.C.

President & Vice-Chancellor
Toronto, Ontario
St. Thomas University

Fredericton, New Brunswick

Roderick McLeod, Q.C. (Chair)

Ross Stringer, CPA, CA
Corporate Director, Consultant
Corporate Director
& Retired Lawyer
Vancouver, British Columbia
Markham, Ontario

Industry Directors

Rick Annaert, CPA, CMA
Frank Laferriere, CPA, CA, CF
President & Chief Executive Officer
Senior Vice-President & Chief Operating Officer
Manulife Securities Investment Services Inc.
Mandeville Wealth Services Inc.
Toronto, Ontario
Toronto, Ontario

Steven Donald, FCPA, FCA (Vice-Chair)
David Losier, CGA
Vice-President & CFO, Fédération des caisse
Assante Wealth Management (Canada) Ltd.
populaire acadiennes ltée and General Manager,
Toronto, Ontario
Acadia Financial Services Inc. and Acadia Life

Caraquet, New Brunswick

Tuula Jalasjaa, Int’l MBA, CFA
Vince Valenti, MBA
Managing Director & Head
HollisWealth, Scotiabank Wealth Management Manotick, Ontario
Toronto, Ontario

Ex Officio Director

Mark T. Gordon, LL.B.

President & Chief Executive Officer
Mutual Fund Dealers Association of Canada
Toronto, Ontario

The MFDA will hold its 2015 AGM on December 2, 2015 at 11:00 a.m. (Eastern) at the St.
Andrew’s Club and Conference Centre, 150 King Street West, 27th Floor, Toronto, Ontario.

DM 401399
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