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RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202068 – MICHAEL JAMES FARRELL Farrell, Michael James. (File No. 202068) Oshawa, ON. May. 18/21. News Release (MFDA announces settlement hearing to take place in the matter of Michael Farrell) Mar. 8/21. News Release (MFDA schedules date for hearing in the matter of Michael Farrell) Feb. 17/21. News Release (MFDA schedules interim appearance in the matter of Michael Farrell) 202040 – DAVID BRUCE LASHER Location. Date of Issue and Document Type. Lasher, David Bruce. (File No. 202040) Bellville, ON. Oct. 13/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of David Lasher) Oct. 13/20. Reasons for Decision. MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT Jan 30, 2020. Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Apr 4, 2019. Proposed Amendments to MFDA Rule 2.3.1 (b) May 27, 2021. MFDA issues Notice of Settlement Hearing in respect of Muhammad Fahad. May 27, 2021. MFDA announces settlement hearing to take place in the matter of Chad Boutilier. May 27, 2021. 202063 – ILDEN FRANCIS LOYOLA Loyola, Ilden Francis. (File No. 202063) Calgary, AB. Mar. 2/21. News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola) Dec. 30/20. News Release (MFDA announces disciplinary proceeding in respect of Ilden Loyola) Dec. 17/20. Notice of Hearing.RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202068 – MICHAEL JAMES FARRELL Farrell, Michael James. (File No. 202068) Oshawa, ON. May. 18/21. News Release (MFDA announces settlement hearing to take place in the matter of Michael Farrell) Mar. 8/21. News Release (MFDA schedules date for hearing in the matter of Michael Farrell) Feb. 17/21. News Release (MFDA schedules interim appearance in the matter of Michael Farrell) 202040 – DAVID BRUCE LASHER Location. Date of Issue and Document Type. Lasher, David Bruce. (File No. 202040) Bellville, ON. Oct. 13/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of David Lasher) Oct. 13/20. Reasons for Decision.CHECK AN ADVISOR
Check an Advisor. Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemptionapplies.
CONTINUING EDUCATION These resources provide guidance for Members regarding Continuing Education (CE) requirements and implementation. Please note that the requirements under MFDA Rule 1.2 and 1.2.6 have been approved / not objected to by the Recognizing Regulators, however they are not yet in force.Further updates and guidance will be posted to this page as development continues. CLIENT FOCUSED REFORMS (CFR) AMENDMENTS TO NI 31 103 Home › Proposed Regulation › Client Focused Reforms (CFR) Amendments to NI 31-103. On November 19, 2020, the MFDA published two types of changes to MFDA Rules and Policies: Public Comment Rule Proposals that are subject to a 60-day public comment period and Housekeeping Changes that are deemed to be approved. Link to PolicyBulletin #0843-P.
SAMPLE INVESTOR QUESTIONNAIRE Sample Investor Questionnaire. Investment Time Horizon: The length of your investment time horizon impacts the types of investments that may be suitable for you. Investors with a time horizon of greater than three years have a greater degree of flexibility when building a portfolio (although risk tolerance and investment objectives must alsobe considered).
MFDA HEARING PANEL ADJOURNS PENALTY HEARING IN THE MATTER June 11, 2021 (Toronto, Ontario) – The Mutual Fund Dealers Association of Canada (“MFDA”) commenced a disciplinary proceeding in respect of King Kwong Clement Chow (“Respondent”) by Notice of Hearing dated October 7, 2020.. The sanctions phase of this proceeding commenced on June 10, 2021, by electronic hearing before a three-member Hearing Panel of the MFDA’s Prairie Regional MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE June 11, 2021 (Toronto, Ontario) – A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (“MFDA”) has issued its Reasons for Decision dated June 10, 2021 (“Reasons for Decision”), in connection with a settlement hearing held by electronic hearing on April 13, 2021, in the matter of Md Ashanur Rahman (“Respondent”).BULLETIN #0797 P
Ian Strulovitch. Director, Communications & Public Affairs and Senior Legal Counsel. (416) 943-7425. istrulovitch@mfda.ca. BULLETIN #0797-P.October 25, 2019.
MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE June 11, 2021 (Toronto, Ontario) – A Hearing Panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada (“MFDA”) has issued its Reasons for Decision dated June 10, 2021 (“Reasons for Decision”), in connection with a settlement hearing held by electronic hearing on June 3, 2021, in the matter of Collin John Spithoff (“Respondent”). 201951 – JEFFREY THOMAS WILLIAMS Date of Issue and Document Type. Williams, Jeffrey Thomas. (File No. 201951) Milton and Whitby, ON. Apr. 6/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Jeffrey Williams) Apr. 3/20. Reasons for Decision. Mar. 24/20. 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal) MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT Jan 30, 2020. Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Apr 4, 2019. Proposed Amendments to MFDA Rule 2.3.1 (b) May 27, 2021. MFDA issues Notice of Settlement Hearing in respect of Muhammad Fahad. May 27, 2021. MFDA announces settlement hearing to take place in the matter of Chad Boutilier. May 27, 2021.CHECK AN ADVISOR
Check an Advisor. Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemptionapplies.
RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202063 – ILDEN FRANCIS LOYOLA Loyola, Ilden Francis. (File No. 202063) Calgary, AB. Mar. 2/21. News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola) Dec. 30/20. News Release (MFDA announces disciplinary proceeding in respect of Ilden Loyola) Dec. 17/20. Notice of Hearing. 202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing in 201968 CHRISTOPHER JOHN DAVIES Davies, Christopher John. (File No. 201968) St. Thomas and London, ON. Jun. 16/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Christopher Davies) Jun. 16/20. Reasons for Decision. Apr. 16/20. News Release (MFDA Hearing Panel makes findings of misconduct and impose sanctions against Christopher Davies) 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal)BULLETIN #0797 P
201869 – ROBERT WILLIAM COPLAND Location. Date of Issue and Document Type. Copland, Robert William. (File No. 201869) Bowmanville, ON. May. 8/19. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Robert Copland) May. 7/19. Reasons for Decision.MFDA :: LOGIN
Use Login and Password to access Member Pages. Login Name: Password: MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT Jan 30, 2020. Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Apr 4, 2019. Proposed Amendments to MFDA Rule 2.3.1 (b) May 27, 2021. MFDA issues Notice of Settlement Hearing in respect of Muhammad Fahad. May 27, 2021. MFDA announces settlement hearing to take place in the matter of Chad Boutilier. May 27, 2021.CHECK AN ADVISOR
Check an Advisor. Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemptionapplies.
RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202063 – ILDEN FRANCIS LOYOLA Loyola, Ilden Francis. (File No. 202063) Calgary, AB. Mar. 2/21. News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola) Dec. 30/20. News Release (MFDA announces disciplinary proceeding in respect of Ilden Loyola) Dec. 17/20. Notice of Hearing. 202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing in 201968 CHRISTOPHER JOHN DAVIES Davies, Christopher John. (File No. 201968) St. Thomas and London, ON. Jun. 16/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Christopher Davies) Jun. 16/20. Reasons for Decision. Apr. 16/20. News Release (MFDA Hearing Panel makes findings of misconduct and impose sanctions against Christopher Davies) 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal)BULLETIN #0797 P
201869 – ROBERT WILLIAM COPLAND Location. Date of Issue and Document Type. Copland, Robert William. (File No. 201869) Bowmanville, ON. May. 8/19. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Robert Copland) May. 7/19. Reasons for Decision.MFDA :: LOGIN
Use Login and Password to access Member Pages. Login Name: Password: 202063 – ILDEN FRANCIS LOYOLA Regarding Location Date of Issue and Document Type; Loyola, Ilden Francis (File No. 202063) Calgary, AB. Jun. 3/21: News Release (MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Ilden Loyola): Mar. 2/21: News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola): Dec. 30/20FORMS | MFDA
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 Documents. Language. FORM 1 (IFRS) – as amended December15, 2018.
MFDA IPC COVERAGE
The MFDA IPC’s objective is to return assets to customers or compensate customers when the assets are not available because the Member Firm has become insolvent. Coverage is available in the amount of up to $1 million for each of a customer’s general and separate accounts. Most customers will have two “accounts” for coveragepurposes
MFDA INVESTOR PROTECTION CORPORATION MFDA Investor Protection Corporation (the “MFDA IPC”) is a not-for-profit corporation established by the Mutual Fund Dealers Association of Canada (“MFDA”) to administer an investor protection fund (“Fund”) for the benefit of clients of mutual fund dealers that are members of the MFDA (“Member Firms”). CONTINUING EDUCATION These resources provide guidance for Members regarding Continuing Education (CE) requirements and implementation. Please note that the requirements under MFDA Rule 1.2 and 1.2.6 have been approved / not objected to by the Recognizing Regulators, however they are not yet in force.Further updates and guidance will be posted to this page as development continues.ENFORCEMENT
The Enforcement Department works on a cooperative basis with other regulatory agencies and law enforcement organizations. The Enforcement Department works on a cooperative basis with the MFDA Compliance and Policy departments to refer cases and issues where appropriate. The Enforcement Department has four main functions: Intake. CaseAssessment.
202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing inSA 202068 | MFDA
WHEREAS on November 20, 2020, the Mutual Fund Dealers Association of Canada (the “MFDA”) issued a Notice of Hearing pursuant to section 24.4 of MFDA By-law No. 1 in respect of Michael James Farrell (the “Respondent”);. AND WHEREAS the Respondent entered into a settlement agreement with Staff of the MFDA, dated (the “Settlement Agreement”), in which the Respondent agreed to a 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal) 202123 – MAGDALENE MUN YIN WONG Regarding Location Date of Issue and Document Type; Wong, Magdalene Mun-Yin (File No. 202123) Scarborough, ON. Jun. 4/21: News Release (MFDA issues Notice of Settlement Hearing in respect of Magdalene Wong): Jun. 2/21: Notice of Settlement Hearing MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT Jan 30, 2020. Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Apr 4, 2019. Proposed Amendments to MFDA Rule 2.3.1 (b) May 27, 2021. MFDA issues Notice of Settlement Hearing in respect of Muhammad Fahad. May 27, 2021. MFDA announces settlement hearing to take place in the matter of Chad Boutilier. May 27, 2021.CHECK AN ADVISOR
Check an Advisor. Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemptionapplies.
RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202063 – ILDEN FRANCIS LOYOLA Loyola, Ilden Francis. (File No. 202063) Calgary, AB. Mar. 2/21. News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola) Dec. 30/20. News Release (MFDA announces disciplinary proceeding in respect of Ilden Loyola) Dec. 17/20. Notice of Hearing. 202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing in 201968 CHRISTOPHER JOHN DAVIES Davies, Christopher John. (File No. 201968) St. Thomas and London, ON. Jun. 16/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Christopher Davies) Jun. 16/20. Reasons for Decision. Apr. 16/20. News Release (MFDA Hearing Panel makes findings of misconduct and impose sanctions against Christopher Davies) 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal)BULLETIN #0797 P
201869 – ROBERT WILLIAM COPLAND Location. Date of Issue and Document Type. Copland, Robert William. (File No. 201869) Bowmanville, ON. May. 8/19. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Robert Copland) May. 7/19. Reasons for Decision.MFDA :: LOGIN
Use Login and Password to access Member Pages. Login Name: Password: MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT Jan 30, 2020. Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Apr 4, 2019. Proposed Amendments to MFDA Rule 2.3.1 (b) May 27, 2021. MFDA issues Notice of Settlement Hearing in respect of Muhammad Fahad. May 27, 2021. MFDA announces settlement hearing to take place in the matter of Chad Boutilier. May 27, 2021.CHECK AN ADVISOR
Check an Advisor. Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemptionapplies.
RULES | MFDA
MFDA Rules. (as amended January 21,2021) MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or1-888-466-6332.
202063 – ILDEN FRANCIS LOYOLA Loyola, Ilden Francis. (File No. 202063) Calgary, AB. Mar. 2/21. News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola) Dec. 30/20. News Release (MFDA announces disciplinary proceeding in respect of Ilden Loyola) Dec. 17/20. Notice of Hearing. 202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing in 201968 CHRISTOPHER JOHN DAVIES Davies, Christopher John. (File No. 201968) St. Thomas and London, ON. Jun. 16/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Christopher Davies) Jun. 16/20. Reasons for Decision. Apr. 16/20. News Release (MFDA Hearing Panel makes findings of misconduct and impose sanctions against Christopher Davies) 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal)BULLETIN #0797 P
201869 – ROBERT WILLIAM COPLAND Location. Date of Issue and Document Type. Copland, Robert William. (File No. 201869) Bowmanville, ON. May. 8/19. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Robert Copland) May. 7/19. Reasons for Decision.MFDA :: LOGIN
Use Login and Password to access Member Pages. Login Name: Password: 202063 – ILDEN FRANCIS LOYOLA Regarding Location Date of Issue and Document Type; Loyola, Ilden Francis (File No. 202063) Calgary, AB. Jun. 3/21: News Release (MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Ilden Loyola): Mar. 2/21: News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola): Dec. 30/20FORMS | MFDA
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 Documents. Language. FORM 1 (IFRS) – as amended December15, 2018.
MFDA IPC COVERAGE
The MFDA IPC’s objective is to return assets to customers or compensate customers when the assets are not available because the Member Firm has become insolvent. Coverage is available in the amount of up to $1 million for each of a customer’s general and separate accounts. Most customers will have two “accounts” for coveragepurposes
MFDA INVESTOR PROTECTION CORPORATION MFDA Investor Protection Corporation (the “MFDA IPC”) is a not-for-profit corporation established by the Mutual Fund Dealers Association of Canada (“MFDA”) to administer an investor protection fund (“Fund”) for the benefit of clients of mutual fund dealers that are members of the MFDA (“Member Firms”). CONTINUING EDUCATION These resources provide guidance for Members regarding Continuing Education (CE) requirements and implementation. Please note that the requirements under MFDA Rule 1.2 and 1.2.6 have been approved / not objected to by the Recognizing Regulators, however they are not yet in force.Further updates and guidance will be posted to this page as development continues.ENFORCEMENT
The Enforcement Department works on a cooperative basis with other regulatory agencies and law enforcement organizations. The Enforcement Department works on a cooperative basis with the MFDA Compliance and Policy departments to refer cases and issues where appropriate. The Enforcement Department has four main functions: Intake. CaseAssessment.
202110 – LUCIA ARRUDA Regarding. Location. Date of Issue and Document Type. Arruda, Lucia. (File No. 202110) Abbotsford, BC. Apr. 5/21. News Release (MFDA issues Notice of Settlement Hearing inBULLETIN #0861 C
On June 1, 2020, the MFDA published for a 90-day public comment period, a Consultation Paper on Account Transfers, the purpose of which was to solicit feedback from all industry stakeholders in order to identify circumstances that contribute to delays in the transfer of assets and potential solutions to improve the account transfer process (see Bulletin #0823-P). 201967 – ROHIT JASWAL Jaswal, Rohit. (File No. 201967) Surrey, BC. Oct. 14/20. News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal) Oct. 13/20. Reasons for Decision. May. 13/20. News Release (MFDA Hearing Panel approves settlement agreement with Rohit Jaswal) 202123 – MAGDALENE MUN YIN WONG Regarding Location Date of Issue and Document Type; Wong, Magdalene Mun-Yin (File No. 202123) Scarborough, ON. Jun. 4/21: News Release (MFDA issues Notice of Settlement Hearing in respect of Magdalene Wong): Jun. 2/21: Notice of Settlement Hearing MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT The Mutual Fund Dealers Association of Canada (MFDA) is the national self-regulatory organization (SRO) that oversees mutual fund dealersin Canada
CHECK AN ADVISOR
Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemption applies. 202063 – ILDEN FRANCIS LOYOLA Regarding Location Date of Issue and Document Type; Loyola, Ilden Francis (File No. 202063) Calgary, AB. Jun. 3/21: News Release (MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Ilden Loyola): Mar. 2/21: News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola): Dec. 30/20RULES | MFDA
MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments.. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 202110 – LUCIA ARRUDA Regarding Location Date of Issue and Document Type; Arruda, Lucia (File No. 202110) Abbotsford, BC. Apr. 5/21: News Release (MFDA issues Notice of Settlement Hearing in respect of Lucia Arruda): Mar. 17/21: Notice of Settlement Hearing MFDA | OFFICIAL WEBSITE OF THE MUTUAL FUND DEALERSCHECK AN ADVISORPOLICY AND REGULATIONLOGINDIRECTORY OF MEMBERSABOUTENFORCEMENT The Mutual Fund Dealers Association of Canada (MFDA) is the national self-regulatory organization (SRO) that oversees mutual fund dealersin Canada
CHECK AN ADVISOR
Choosing the right investment advisor is an important decision that investors must make in managing their personal finances. In Canada, anyone trading securities or in the business of advising clients on such securities must be registered with the provincial or territorial securities regulator, unless an exemption applies. 202063 – ILDEN FRANCIS LOYOLA Regarding Location Date of Issue and Document Type; Loyola, Ilden Francis (File No. 202063) Calgary, AB. Jun. 3/21: News Release (MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Ilden Loyola): Mar. 2/21: News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola): Dec. 30/20RULES | MFDA
MFDA Rules were originally published on February 23, 2001. Please click here to view a list of amendments.. Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 202110 – LUCIA ARRUDA Regarding Location Date of Issue and Document Type; Arruda, Lucia (File No. 202110) Abbotsford, BC. Apr. 5/21: News Release (MFDA issues Notice of Settlement Hearing in respect of Lucia Arruda): Mar. 17/21: Notice of Settlement Hearing 202063 – ILDEN FRANCIS LOYOLA Regarding Location Date of Issue and Document Type; Loyola, Ilden Francis (File No. 202063) Calgary, AB. Jun. 3/21: News Release (MFDA Hearing Panel makes findings of misconduct and imposes sanctions against Ilden Loyola): Mar. 2/21: News Release (MFDA schedules dates for Hearing on the Merits in the matter of Ilden Loyola): Dec. 30/20FORMS | MFDA
Other Documents Language; The Benefits of Working with an MFDA Member: Client Complaint Information (MFDA Staff Notice MSN-0073): Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1)Consent to Release of MFDA Enforcement Activity History and Release from LiabilityMFDA IPC COVERAGE
The MFDA IPC covers customers who incur losses as a result of the insolvency of an MFDA Member Firm. Loss of customer assets may take the form of shortfalls in the amount and type of assets which are held by the Member Firm at the time of insolvency. 202110 – LUCIA ARRUDA Regarding Location Date of Issue and Document Type; Arruda, Lucia (File No. 202110) Abbotsford, BC. Apr. 5/21: News Release (MFDA issues Notice of Settlement Hearing in respect of Lucia Arruda): Mar. 17/21: Notice of Settlement Hearing CONTINUING EDUCATION These resources provide guidance for Members regarding Continuing Education (CE) requirements and implementation. Please note that the requirements under MFDA Rule 1.2 and 1.2.6 have been approved / not objected to by the Recognizing Regulators, however they are not yet in force.Further updates and guidance will be posted to this page as development continues. MFDA INVESTOR PROTECTION CORPORATION MFDA Investor Protection Corporation (the “MFDA IPC”) is a not-for-profit corporation established by the Mutual Fund Dealers Association of Canada (“MFDA”) to administer an investor protection fund (“Fund”) for the benefit of clients of mutual fund dealers that are members of the MFDA (“Member Firms”).BULLETIN #0861 C
On June 1, 2020, the MFDA published for a 90-day public comment period, a Consultation Paper on Account Transfers, the purpose of which was to solicit feedback from all industry stakeholders in order to identify circumstances that contribute to delays in the transfer of assets and potential solutions to improve the account transfer process (see Bulletin #0823-P). 201967 – ROHIT JASWAL Regarding Location Date of Issue and Document Type; Jaswal, Rohit (File No. 201967) Surrey, BC. Oct. 14/20: News Release (MFDA Hearing Panel issues Reasons for Decision in the matter of Rohit Jaswal): Oct. 13/20: Reasons for DecisionENFORCEMENT
Enforcement Department. The Enforcement Department investigates situations where our Members and their Approved Persons may have breached our requirements. SAMPLE INVESTOR QUESTIONNAIRE Sample Investor Questionnaire. Investment Time Horizon: The length of your investment time horizon impacts the types of investments that may be suitable for you. Investors with a time horizon of greater than three years have a greater degree of flexibility when building a portfolio (although risk tolerance and investment objectives must alsobe considered).
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THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) IS THE NATIONAL SELF-REGULATORY ORGANIZATION (SRO) THAT OVERSEES MUTUAL FUND DEALERS IN CANADA COVID-19 INFORMATIONWHAT'S NEW
* Latest
* Proposed regulation* News Releases
* Bulletins
* Staff Notices
Jun 4, 2021
BULLETIN #0861-C - ACCOUNT TRANSFERS - SUMMARY OF COMMENTS(BULLETIN)
Jun 4, 2021
MFDA ISSUES NOTICE OF SETTLEMENT HEARING IN RESPECT OF MAGDALENE WONG(NEWS RELEASE)
Jun 4, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH MICHAEL FARRELL(NEWS RELEASE)
Jun 3, 2021
MFDA HEARING PANEL MAKES FINDINGS OF MISCONDUCT AND IMPOSES SANCTIONS AGAINST ILDEN LOYOLA(NEWS RELEASE)
Jun 3, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH COLLIN SPITHOFF(NEWS RELEASE)
Jun 3, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH DERYL THOMPSON(NEWS RELEASE)
Jun 1, 2021
MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE MATTER OF JAMES BENNETT (NEWS RELEASE)Jun 1, 2021
MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE MATTER OF JULIO MORENO (NEWS RELEASE)Jun 1, 2021
MFDA RESCHEDULES HEARING ON THE MERITS IN THE MATTER OF KIMBERLEY KRAHL (NEWS RELEASE)Jun 1, 2021
MFDA SCHEDULES NEXT APPEARANCE IN THE MATTER OF LUCILLIA TAN(NEWS RELEASE)
Dec 24, 2020
PROPOSED AMENDMENTS TO MFDA RULES 2.3.2 AND 2.3.3 LIMITED TRADINGAUTHORIZATION
Nov 19, 2020
CLIENT FOCUSED REFORMS (CFR) AMENDMENTS TO NI 31-103Mar 26, 2020
PROPOSED AMENDMENTS TO MFDA POLICY NO. 9 CONTINUING EDUCATION (“CE”) REQUIREMENTSJan 30, 2020
PROPOSED AMENDMENTS TO MFDA RULE 1.1.2 (COMPLIANCE BY APPROVEDPERSONS)
Apr 4, 2019
PROPOSED AMENDMENTS TO MFDA RULE 2.3.1(B)Jun 4, 2021
MFDA ISSUES NOTICE OF SETTLEMENT HEARING IN RESPECT OF MAGDALENE WONGJun 4, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH MICHAEL FARRELLJun 3, 2021
MFDA HEARING PANEL MAKES FINDINGS OF MISCONDUCT AND IMPOSES SANCTIONS AGAINST ILDEN LOYOLAJun 3, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH COLLIN SPITHOFFJun 3, 2021
MFDA HEARING PANEL ACCEPTS SETTLEMENT AGREEMENT WITH DERYL THOMPSONJun 1, 2021
MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE MATTER OF JAMESBENNETT
Jun 1, 2021
MFDA HEARING PANEL ISSUES REASONS FOR DECISION IN THE MATTER OF JULIOMORENO
Jun 1, 2021
MFDA RESCHEDULES HEARING ON THE MERITS IN THE MATTER OF KIMBERLEYKRAHL
Jun 1, 2021
MFDA SCHEDULES NEXT APPEARANCE IN THE MATTER OF LUCILLIA TANJun 1, 2021
MFDA RELEASES 2020 ANNUAL ENFORCEMENT REPORTJun 4, 2021
#0861-C - ACCOUNT TRANSFERS - SUMMARY OF COMMENTSMay 25, 2021
#0860-M - TFSA MAXIMIZER SCHEMESMay 7, 2021
#0858-P - OSC ADOPTS BAN ON THE USE OF DEFERRED SALES CHARGEApr 27, 2021
#0857-ME - VULNERABILITY AND FINANCIAL ADVICE: A BROADER LOOK AT THE FACTORS THAT MAY INCREASE THE RISK OF CLIENT VULNERABILITYMar 16, 2021
#0856-P - MFDA RELEASES ROADMAP FOR THE DESIGN AND IMPLEMENTATION OF ANEW MODERN SRO
Feb 24, 2021
#0855-M - 2021 COMPLIANCE AND MEMBER EDUCATION PRIORITIESFeb 18, 2021
#0854-M - MFDA TECHNOLOGY WEBINAR SERIES: LEGAL ASPECTS OF CYBERSECURITY AND CYBER-RISK MANAGEMENTFeb 4, 2021
#0853-P - CSA PUBLICATION FOR COMMENT OF PROPOSED AMENDMENTS TO NATIONAL INSTRUMENT 33-109 REGISTRATION INFORMATION AND CHANGES TO COMPANION POLICY 33-109CP REGISTRATION INFORMATIONFeb 2, 2021
#0852-P - CAPITAL MARKETS MODERNIZATION TASKFORCE FINAL REPORT - SRORECOMMENDATIONS
Jan 28, 2021
#0851-P - CSA ISSUES BLANKET RELIEF – ADDITIONAL PROFICIENCY OPTIONS FOR DISTRIBUTION OF ALTERNATIVE FUNDSSep 5, 2018
MSN-0085 MFDA MEMBER INTERMEDIARY ARRANGEMENTSFeb 26, 2016
MSN-0084 ADVANCE INSTRUCTIONS FOR ACCOUNT REBALANCINGNov 25, 2014
MSN-0083 ACCOUNT STATEMENT DISCLOSURE RESPECTING MFDA IPC COVERAGESep 12, 2013
MSN-0082 BRANCH SUPERVISIONFeb 13, 2013
MSN-0081 SALE OF PRINCIPAL PROTECTED NOTES BY APPROVED PERSONS OF MFDAMEMBERS
Apr 16, 2012
MSN-0080 PAYMENT OF INTEREST ON CLIENT CASH HELD IN TRUSTMar 4, 2011
MSN-0079 APPROVED PERSON TRANSFERSFeb 22, 2011
MSN-0078 MFDA RULES 2.4.4 (TRANSACTION FEES OR CHARGES) AND 5.1(B)(IV) (REQUIREMENT FOR RECORDS)Dec 7, 2010
MSN-0077 APPROVED PERSON PROFICIENCY REQUIREMENTSDec 3, 2010
MSN-0075 RELATIONSHIP DISCLOSURE DESIGN AND IMPLEMENTATION OF A NEW MODERN SRO MFDA Roadmap for the Design and Implementation of a new Modern SRO WHAT CANADIAN INVESTORS WANT IN A MODERN SRO A report that summarizes the results of a National Poll that examines Canadian retail investors’ views around the SRO framework review MFDA SPECIAL REPORT ON SECURITIES INDUSTRY SELF-REGULATION Read a Proposal for a Modern SRO, a Special Report on Securities Industry Self-Regulation MFDA WHISTLEBLOWER PROGRAM Details of the MFDA Whistleblower Program* Home
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