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Bulletin #0932-ME

For further information, please contact:

Brett Konyu
Director, Member Education and Membership Services
Member Education
For Distribution to Relevant Parties within your Firm

Mutual Fund Dealer Continuing Education (CE) Update – Issuance of 2023 Compliance Credit

Reminder to complete CE requirements

Further to MFDA Bulletin #0928-ME Continuing Education (CE) Program Update issued December 30, 2022, Participants in the Mutual Fund Dealer CE Program (previously the MFDA CE Program) are again reminded that they must meet the CE credit requirements for the first CE cycle by November 30, 2023. Please refer to Bulletin #0928-ME for guidance on meeting these requirements.

Issuance of second mandatory Compliance Credit

Also further to Bulletin #0928, the New Self-Regulatory Organization of Canada (“New SRO”)has released the 2023 Compliance Credit webcast, the second of two mandatory compliance credits for the first cycle of the Mutual Fund Dealer CE Program. The 2023 Compliance Credit covers:

  • Updates on the New SRO and CE requirements
  • Know-Your-Client Information
  • Outside Activities
  • Enforcement guidance

Obtaining Credits

The 2023 Compliance Credit is the second of the two mandatory Compliance Credits under the Mutual Fund Dealer CE Program for the 2022-2023 Cycle. Both the 2023 Compliance Credit and the first Compliance Credit, the 2022 MFDA Compliance Credit that was issued in 2022, are available for viewing in English and French by logging into CE Reporting and Tracking System (CERTS) and selecting “Register for MFDA CE Activities” from the “Actions” Menu. If you cannot recall if you have obtained both of these required credits, check under the CE details page/tab for completed activities. We recommend Chrome, Firefox, Safari or Edge for the best user experience.

The number of credits you have taken will be automatically updated on CERTS the month after you viewed the entire 2022 MFDA Compliance Credit webcast or 2023 Compliance Credit webcast. To obtain these credits, CE Program Participants must register using their Participant ID # and view the entire webcast. Your Participant ID # pre-populates on the registration page if you use the link within CERTS or in the personalized email notifying you that the Compliance Credit is available.

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