| Canadian Investment Regulatory Organization

Lincluden Mutual Fund Dealer Inc.

Intention to Resign

January 18, 2019

Mutual Fund Dealer

Banwell Financial Inc.

January 2, 2019

Mutual Fund Dealer

Approval of Housekeeping Amendments to MFDA Form 1

Policy Bulletin

December 27, 2018

Mutual Fund Dealer

MFDA Bulletin #0748-P Discussion Paper on Expanding Cost Reporting – Summary of Comments

Policy Bulletin

November 20, 2018

Mutual Fund Dealer

Publication of Revised MFDA Sanction Guidelines

Policy Bulletin

October 31, 2018

Mutual Fund Dealer

Publication of Guidance on MFDA Member Intermediary Arrangements

Policy Bulletin

September 5, 2018

Mutual Fund Dealer

2018 Client Research Project - Summary of Comments and Next Steps

Compliance Bulletin

Mutual Fund Dealer

Request for Comment on Proposed MFDA Sanction Guidelines

Policy Bulletin

Mutual Fund Dealer

Discussion Paper on Expanding Cost Reporting

Policy Bulletin

Mutual Fund Dealer

Approval of New MFDA Rule 2.13 (Disclosure of MFDA Membership) and New MFDA Policy No. 10 Disclosure of MFDA Membership

Policy Bulletin

Mutual Fund Dealer

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