MFDA Staff Notices

MSN-0085 - MFDA Member Intermediary Arrangements

MSN-0084 - Advance Instructions for Account Rebalancing

MSN-0083 - Account Statement Disclosure Respecting MFDA IPC Coverage

MSN-0082 - Branch Supervision

MSN-0081 - Sale of Principal Protected Notes by Approved Persons of MFDA Members

MSN-0080 - Payment of Interest on Client Cash Held in Trust

MSN-0079 - Approved Person Transfers

MSN-0078 - MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)

MSN-0077 - Approved Person Proficiency Requirements

MSN-0075 - Relationship Disclosure

MSN-0074 - Leverage Risk Disclosure

MSN-0073 - Complaint Handling – MFDA Policy No. 3

MSN-0072 - Payment of Commissions to Unregistered Corporation

MSN-0071 - Referral Arrangements With Other Securities Registrants

MSN-0070 - Misleading Communications Regarding Leverage

MSN-0069 - Know-Your-Client (KYC) and Suitability

MSN-0068 - Servicing of Client Accounts in Transition

MSN-0067 - Stealth Advising

MSN-0066 - Signature Falsification

MSN-0065 - Excessive Trading

MSN-0064 - Maintaining Evidence of Disclosure

MSN-0062 - Exempt Securities of Non-Arm's Length Issuers

MSN-0061 - Member Obligations Regarding Outsourcing

MSN-0060 - Penalty Guidelines

MSN-0058 - Acceptable Securities Locations

MSN-0057 - Joint Regulatory Notice on the Role of Compliance and Supervision

MSN-0056 - Business Continuity Planning

MSN-0055 - Undivided Interests in Land

MSN-0054 - Conflicts of Interest – MFDA Rule 2.1.4 (WITHDRAWN June 30, 2021)

MSN-0053 - Obligation of Members to Communicate Regulatory Information to Approved Persons and Relevant Employees

MSN-0052 - MFDA Financial Questionnaire and Report Basis of Presentation Note Disclosure

MSN-0051 - Capital Provisions for Unresolved Differences in Nominee Name Assets

MSN-0050 - Related Member Guarantees (withdrawn March 4, 2013)

MSN-0049 - Charitable Donation Programs

MSN-0048 - Know-Your-Product

MSN-0047 - Personal Financial Dealings with Clients

MSN-0045 - Joint Representative Codes

MSN-0044 - Member Obligations Regarding Service Providers

MSN-0043 - Referral Arrangements in Respect of Specific Securities

MSN-0042 - Limited Trading Authorizations and Intermediary Accounts

MSN-0041 - Automatic Conversion of Deferred Sales Charge to 0% Front End Load Units Without Client Knowledge or Consent

MSN-0040 - Outside Activity

MSN-0038 - Revised Limited Trading Authorization Form and Guidelines for Individual and Joint Accounts

MSN-0037 - Compliance Responsibilities

MSN-0036 - MFDA Access to Information – Service Arrangements and Introducing/Carrying Arrangements

MSN-0035 - Recording and Maintaining Evidence of Client Authorization and Trade Instructions

MSN-0034 - Joint Regulatory Notice – Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members

MSN-0033 - Websites of Approved Persons of MFDA Members

MSN-0032 - MFDA Rule 1.1.7 – Use of Business, Style or Trade Names by Members and Approved Persons

MSN-0031 - Control or Authority over the Financial Affairs of a Client – Rule 2.3.1

MSN-0029 - Joint Regulatory Notice – Joint Service and Omnibus Arrangements Between IDA and MFDA Members

MSN-0025 - Suitability Obligations for Unsolicited Orders

MSN-0024 - Portfolio Summaries

MSN-0023 - Late Trading and Market Timing

MSN-Privacy - Joint Regulatory Notice on Federal and Provincial Privacy Legislation

MSN-0021 - Late Filing Fees

MSN-0019 - Member Resignations and Reorganizations

MSN-0017 - Transfer of Client Accounts

MSN-0016 - Electronic Signatures

MSN-0014 - Supervision Requirements for Licensed Assistants at Branch Offices

MSN-0013 - Undertaking Regarding Retractable Preferred Shares

MSN-0011 - Agency Agreements

MSN-0008 - Policies and Procedures Manual

MSN-0003 - Introducing/Carrying Dealer Arrangements

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.