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Weekly Reports

Updates for the week ending February 18, 2011

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Policies and Instruments

  • New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Amendments to Rule 5.1 (Requirement for Records) 
    This Notice announces that the BCSC has not objected to the MFDA's proposed new Rule 2.4.4 (Transaction Fees or Charges) and amendments to Rule 5.1 (Requirement for Records). The amendments are intended to assist investors to make transaction decisions in their accounts. Members must inform investors of transaction fees or charges before accepting their orders. Members will also be required to maintain records evidencing that the client was informed of all fees and charges.

    The BCSC published the amendments for comment on its website on June 25, 2010. The MFDA received six comment letters on the proposal. We attach a copy of the summary of the comments received and MFDA responses, as well as a blacklined copy of the amendments showing the changes to the current MFDA Rules.

News and Events

  • News release 2011/14 - Financial planner pays $15,000 and is disciplined for making illegal distributions
  • News release 2011/13 - Online videos and contest offer youth chance to get financially fit and win big

Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders