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Bulletin #0681-M

For further information, please contact:

Sarah Rickard
Director, Regional Councils
Membership Information
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, 2016. 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 Region.

Regional Council Provinces in Region Positions Available Nomination Form
Atlantic Nova Scotia, New Brunswick, Prince Edward Island, Newfoundland and Labrador 10 Atlantic Nomination Form
Central Ontario, Quebec 20 Central Nomination Form
Prairie Alberta, Saskatchewan, Manitoba, Northwest Territories & Nunavut 20 Prairie Nomination Form
Pacific British Columbia, Yukon 20 Pacific 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.

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 8, 2016.

Submitting Nomination Forms

Completed Nomination Forms must be submitted by no later than Thursday, March 31, 2016 at 5:00 p.m. (Eastern):

Mail: Sarah Rickard
Legal Counsel and 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