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Mutual Fund Dealers Association (MFDA)

The BCSC has published the following current documents related to the Mutual Fund Dealers Association.

Visit the Mutual Fund Dealers Association (MFDA) icon_new_window.gif website for the complete MFDA Rules.

 Document Published Format
MFDA Oversight Review Report 2018-07-04
MFDA Variation Order 2018-04-12
MFDA Recognition Order 2018-04-12
MFDA Oversight Review Report 2017-09-15
MFDA Oversight Review Report 2016-11-18
Notice of Variation of MFDA Investor Protection Corporation Approval Order 2015-04-30
Notice of Revised Recognition Order for Mutual Fund Dealers
2014-11-07  
Memorandum of Understanding Regarding Oversight of the Mutual Fund Dealers Association of Canada
2013-10-10  
MFDA Oversight Review Report
2013-04-17  
MFDA Oversight Review - Corporate Governance Report
2011-07-04  
MFDA Oversight Review Report
2010-07-09  
Mutual Fund Dealers Association of Canada Variation Order
2008-12-19  
Mutual Fund Dealers Association of Canada Variation Order
2008-11-14  
Consent re: Co-operative Agreement with the Autoritié des marchés financiers du Québec and the Chambre de la sécurité financière
2008-07-08  
Mutual Fund Dealers Association of Canada Variation Order
2006-11-17  
MFDA Investor Protection Corporation Variation Order
2006-07-24  
MFDA Pacific Audit Report
2006-03-24 ---
Order Re: Co-operative Agreement with the Autorité des marchés financiers du Québec and the Chambre de la sécurité financière
2005-05-20
MFDA Investor Protection Corporation Approval Order
2005-05-13
Recognition Order
2004-06-03

Rule Review

 Document Published Format
Notice of BCSC non-objection to proposed new MFDA Rule 2.13 and Policy No. 10 (Disclosure of MFDA Membership) 2018-04-12 ---
Request for Comment: Proposed MFDA Rules 1.2 (Definitions), 1.2.6 (Continuing Education), and Proposed MFDA Policy No. 9 - Continuing Education (CE) Requirements 2018-03-22  
Notice of BCSC deemed non-objection to proposed amendments to MFDA Rule 5.3 (Client Reporting) and Policy No. 7 (Performance Reporting) 2018-01-04  
Notice of withdrawal of proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) 2017-10-19  
Notice of BCSC non-objection to proposed new MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling Exchange Traded Funds) 2017-07-20  
Request for Comment: Proposed MFDA Rule 2.13 and Policy No. 10 (Disclosure of MFDA Membership) 2017-06-29  
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.3 (Power of Attorney/ Limited Trading Authorization/ Discretionary Trading) and related policies 2017-01-19  
Request for Comment: Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) 2016-10-27  
Request for Comment: Proposed New MFDA Policy No. 8 Proficiency Standard for Approved Persons Selling Exchange Traded Funds (“ETFs”) 2016-06-30  
Notice of BCSC Non-objection to Proposed Amendments to MFDA Rules 1.2 (Individual Qualifications), 1.3 (Outside Activity) and 1.4 (Reporting Requirements) 2016-03-17  
Request for Comment: Proposed Amendments to MFDA Rule 2.3 (Power of Attorney Limited Trading Authorization Discretionary Trading) 2016-03-10  
Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) 2015-06-25  
Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) 2015-06-18  
Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) 2015-06-18  
Notice of BCSC Deemed Non-Objection to Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) 2015-03-19
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) 2014-12-18
Notice of BCSC Non-Objection to Proposed Amendments to MFDA By-law No. 1 and Articles of Continuance 2014-07-03
Request for Comment: Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) 2014-06-12
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2.5 (Relationship Disclosure), Rule 2.4.4 (Transaction Fees or Charges) and Rule 5.4.2 (Trade Confirmations–Automatic Payment Plans) 2014-05-29
Request for Comment: Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans) 2013-10-10 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA By-law No. 1 (Definitions), Rule 2.5.5 (Branch Manager) and Policy No. 2 Minimum Standards for Account Supervision 2013-09-12 ---
Request for Comment: Proposed Amendments to MFDA By-law No. 1 to Transition to Canada Not-for-profit Corporations Act 2013-07-25 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2.1 (Know-Your-Client) and Policy No. 2 (Minimum Standards for Account Supervision) 2013-02-07 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Form 1 2013-01-31 ---
Request for Comment: Proposed amendments to MFDA By-law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 (Minimum Standards for Account Supervision) 2013-01-04 ---
Notice of BCSC Revocation of Non-Objection to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 2012-12-13 ---
Notice of BCSC Non-Objection to Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 2012-10-25 ---
Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) 2012-04-13 ---
Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Rule 5.3 – Client Reporting 2012-03-02 ---