| Canadian Investment Regulatory Organization

Update on Marilyn Dianne Stuart and W.H. Stuart Mutuals Ltd.

Enforcement Bulletin

January 28, 2020

Mutual Fund Dealer

2020 Compliance and Member Education Priorities

Member Bulletin

January 23, 2020

Mutual Fund Dealer

Change of Name - Lawton Partners Financial Planning Services Limited

January 2, 2020

Mutual Fund Dealer

Approval of Proposed Amendment to MFDA By-Law No. 1, Subsection 24.A (Ombudservice)

Policy Bulletin

December 12, 2019

Mutual Fund Dealer

2019 Annual Report

Member Bulletin

November 14, 2019

Mutual Fund Dealer

Seniors and Vulnerable Clients

Policy Bulletin

October 25, 2019

Mutual Fund Dealer

Proposed Amendments to MFDA Rule 1.1.1(a) Business Structures - Members

Policy Bulletin

October 24, 2019

Mutual Fund Dealer

Client Focused Reforms – Publication of Final Amendments to National Instrument 31-103

Policy Bulletin

October 3, 2019

Mutual Fund Dealer

The MFDA Investor Protection Corporation (IPC) – 2019 Annual Report

Member Bulletin

October 1, 2019

Mutual Fund Dealer

Proposed MFDA Continuing Education (CE) Requirements – Notice of CSA Approval/Non-Objection

Policy Bulletin

September 26, 2019

Mutual Fund Dealer

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