Forms

MFDA Forms are available in both French and English, and can be viewed and/or printed by clicking on the appropriate language link below.

Financial DocumentsLanguage
FORM 1 (IFRS) – as amended December 15, 2018 English Pdf Icon English Accessible Icon French Pdf Icon French Accessible Icon
The Form 1 Reference ManualEnglish Pdf IconFrench Pdf Icon
“Bare Trustee” Custodial Agreement (Schedule A to MSN-0058)English Pdf IconFrench Pdf Icon
Other Custodial Agreements:  
  • Non-Certified Debt Instrument
English Pdf IconFrench Pdf Icon
  • Member/Custodian Agreement
English Pdf IconFrench Pdf Icon
Agent’s Agreement (MFDA Staff Notice MSN-0011)  
  • Certificate Regarding Agent’s Agreement between Members and Approved Persons
English Pdf IconFrench Pdf Icon
  • Counsel’s Opinion Regarding Agent’s Agreement between Members and Approved Persons
English Pdf IconFrench Pdf Icon
  • Override Acknowledgement
English Pdf IconFrench Pdf Icon
Agreement made pursuant to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) (Schedule A to MSN-0072)English Pdf IconFrench Pdf Icon
Other Documents
The Benefits of Working with an MFDA MemberEnglish Pdf IconFrench Pdf Icon
Client Complaint Information (MFDA Staff Notice MSN-0073)English Pdf IconFrench Pdf Icon
Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1)English Pdf IconFrench Pdf Icon
Consent to Release of MFDA Enforcement Activity History and Release from LiabilityEnglish Pdf IconFrench Pdf Icon
Protect Yourself from Fraud (client brochure)English Pdf IconFrench Pdf Icon
  • Protect Yourself from Fraud (printable brochure)
English Pdf IconFrench Pdf Icon
Pre-Delivery of Fund Facts (client brochure)English Pdf IconFrench Pdf Icon
  • Pre-Delivery of Fund Facts (printable brochure)
English Pdf IconFrench Pdf Icon
  • Pre-Delivery of Fund Facts (brochure text in MS Word)
English Pdf IconFrench Pdf Icon
Limited Trading Authorization (MFDA Bulletin #0773-P)English Pdf IconFrench Pdf Icon
MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M)English Pdf IconFrench Pdf Icon
Undertaking Preferred Shares (MFDA Staff Notice MSN-0013)English Pdf IconFrench Pdf Icon
Uniform Guarantee by Members and Related Members English Pdf IconFrench Pdf Icon
MFDA Membership Application Package
MFDA Membership Application Package (complete)English Pdf IconFrench Pdf Icon
  • Membership Application Guide
English Pdf IconFrench Pdf Icon
  • MFDA Membership Application Form
English Pdf IconFrench Pdf Icon
  • MFDA Application Checklist
English Pdf IconFrench Pdf Icon
  • Schedule A – Member Fee Guidelines
English Pdf IconFrench Pdf Icon
  • Schedule B – Registration Information
English Pdf IconFrench Pdf Icon
  • Schedule C – Capital Requirements
English Pdf IconFrench Pdf Icon
  • Schedule D – Branch & Sub-Branch Locations
English Pdf IconFrench Pdf Icon
  • Schedule E – Qualification of Individuals
English Pdf IconFrench Pdf Icon
  • Schedule F – Trade Names of Approved Persons
English Pdf IconFrench Pdf Icon
  • Schedule G – Agreement of Approved Person
English Pdf IconFrench Pdf Icon
  • Schedule H – Auditor Requirements
English Pdf IconFrench Pdf Icon
  • Schedule I – Uniform Subordinated Loan Agreement
English Pdf IconFrench Pdf Icon
  • Override Acknowledgement for MFDA Uniform Subordinated Loan Agreement (Schedule B)
English Pdf IconFrench Pdf Icon
  • Schedule J – Undertaking Regarding Retractable Preferred Shares
English Pdf IconFrench Pdf Icon
  • Schedule K – Policies and Procedures Manual
English Pdf IconFrench Pdf Icon