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Bulletin #0908-P

For further information, please contact:

Paige Ward
General Counsel, Corporate Secretary and Vice President, Policy
For Distribution to Relevant Parties within your Firm

Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) - Publication of CSA Notice of Approval / Non-Objection

In January, 2020 the MFDA published, for a 135-day comment period, proposed amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons), which are intended to ensure that the Rule is consistent with wording in the MFDA Terms and Conditions of Recognition that expressly requires compliance with applicable securities legislation relating to the operations, standards of practice and business conduct of MFDA Members and Approved Persons.

On June 30, 2022, the CSA published a Notice of Approval / Non-Objection in respect of these changes. To view the CSA Notice, please go to: