| Bulletin # |
Date |
Type |
Description |
Language |
| #0517-M |
12/20/11 |
Resignation |
Excel Financial Growth Inc. |
 |
 |
| #0516-M |
12/19/11 |
Resignation |
Integra Capital Corporation |
|
|
| #0515-M |
12/19/11 |
Resignation |
M. Hershberg Capital Limited |
|
|
| #0514-C |
12/19/11 |
Compliance |
MFDA Sales Compliance Examination Cycle |
|
|
| #0513-M |
12/16/11 |
Resignation |
Martin + Becker Financial Management Ltd. |
|
|
| #0512-M |
12/16/11 |
Membership Information |
2012 Financial Filing Deadlines |
|
|
| #0511-P |
12/13/11 |
Policy |
Summary of Comments – Consultation Paper on the Use of Third
Party Back-Office Service Providers |
|
|
| #0510-M |
12/12/11 |
Resignation |
Gateway Capital Growth Inc. |
|
|
| #0509-M |
12/02/11 |
Notice of Intention to Resign |
Canadian First Financial Centres Limited |
|
|
| #0508-P |
12/02/11 |
Policy |
MFDA Rule 5.3.5 (Performance Reporting): Suspension of June 2012 Implementation |
|
|
| #0507-P |
12/02/11 |
Policy |
Amendments to MFDA Rule 5.3 (Client Reporting) and Form 1 |
|
|
| #0506-M |
12/01/11 |
New Member |
MonArc Money Solutions Inc. |
|
|
| #0505-P |
12/01/11 |
Policy |
End of Transition Periods – December 3, 2011 |
|
|
| #0504-M |
12/01/11 |
Membership Information |
Annual General Meeting of Members |
|
|
| #0503-M |
11/29/11 |
Resignation |
AXA Financial Services Inc. |
|
|
| #0502-M |
11/11/11 |
Notice of Intention to Resign |
Info Financial Consulting Group Inc. |
|
|
| #0501-M |
11/10/11 |
Notice of Intention to Resign |
Martin + Becker Financial Management Ltd. |
|
|
| #0500-M |
11/09/11 |
Notice of Intention to Resign |
Integra Capital Corporation |
|
|
| #0499-P |
11/04/11 |
Policy |
Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 |
|
|
| #0498-P |
10/28/11 |
Policy |
Proposed Amendments to MFDA Rule 5.3 (Client Reporting) |
|
|
| #0497-M |
10/28/11 |
Resignation |
Rattenbury Financial Management Inc. |
|
|
| #0496-P |
10/27/11 |
Membership Information |
MFDA 2011 Member Survey – Summary of Member Feedback |
|
|
| #0495-P |
10/20/11 |
Policy |
MFDA Rule 5.3.5 (Performance Reporting): Proposed Suspension of June 2012 Implementation |
|
|
| #0494-P |
10/03/11 |
Policy |
Approval of Amendments to MFDA Form 1 Regarding the Definition of “Market Value” |
|
|
| #0493-M |
09/30/11 |
Amalgamation |
Global Maxfin Investments Inc. and Professional Investment Services (Canada) Inc. |
|
|
| #0492-P |
09/28/11 |
Policy |
End of Transition Periods – September 28, 2011 |
|
|
| #0491-M |
09/14/11 |
Notice of Intention to Resign |
DNL Money Management Ltd. |
|
|
| #0490-M |
08/22/11 |
Change of Name |
Family Wealth Advisors Ltd. to Certika Investments Ltd. |
|
|
| #0489-M |
08/18/11 |
Change of Name |
GBC Asset Management Inc. to Pembroke Private Wealth Management Ltd. |
|
|
| #0488-P |
07/18/11 |
Policy |
Account Statement Delivery Requirements under NI 31-103 |
|
|
| #0487-P |
07/11/11 |
Policy |
Proposed Amendments to MFDA Rule 2.2.1 (“Know-Your-Client”) and Policy No. 2 Minimum Standards for Account Supervision |
|
|
| #0486-P |
07/06/11 |
Policy |
Withdrawal of Proposed Amendments to MFDA Rule 1.2.1(c) (Dual Occupations) |
|
|
| #0485-M |
06/30/11 |
Resignation |
MacIntosh Financial Group Ltd. |
|
|
| #0484-P |
06/30/11 |
Policy |
Consultation Paper on the Use of Third Party Back-Office Service Providers |
|
|
| #0483-P |
06/22/11 |
Policy |
Proposed Amendments to NI 31-103 (Cost Disclosure and Performance Reporting) – Publication for Comment |
|
|
| #0482-M |
06/16/11 |
Membership Information |
Canadian Postal Strike |
|
|
| #0481-M |
06/02/11 |
Amalgamation |
IPC Investment Corporation and Partners In Planning Financial Services Ltd. |
|
|
| #0480-M |
05/25/11 |
Resignation |
Select Money Strategies Inc. |
|
|
| #0479-M |
05/24/11 |
Resignation |
Status Financial Inc. |
|
|
| #0478-P |
05/17/11 |
Policy |
OSC Staff Notice 33-735 - Sale of Exempt Securities to Non Accredited Investors |
|
|
| #0477-M |
04/28/11 |
Notice of Intention to Resign |
Rattenbury Financial Management Inc. |
|
|
| #0476-M |
04/08/11 |
Notice of Intention to Resign |
Excel Financial Growth Inc. |
|
|
| #0475-M |
04/07/11 |
Notice of Intention to Resign |
M. Hershberg Capital Limited |
|
|
| #0474-P |
03/30/11 |
Policy |
Electronic Delivery of Account Statements |
|
|
| #0473-P |
03/25/11 |
Policy |
Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) – Requirement to Execute Revised Agreement |
|
|
| #0472-P |
03/23/11 |
Policy |
Approval of Housekeeping Amendments to MFDA Form 1 – Financial Questionnaire and Report |
|
|
| #0471-C |
03/23/11 |
Compliance |
Audited Form 1 Filing Process |
|
|
| #0470-P |
03/21/11 |
Policy |
Proposed Amendment to MFDA Form 1 |
|
|
| #0469-P |
03/10/11 |
Policy |
Regulatory Gap in Canada – Fund Managers: The Need for a Compensation Fund |
|
|
| #0468-M |
03/03/11 |
Notice of Intention to Resign |
MacIntosh Financial Group Ltd. |
|
|
| #0467-C |
02/24/11 |
Compliance |
Overview of New Electronic Filing System (“EFS (IFRS)”) – Information Webcast |
|
|
| #0466-P |
02/22/11 |
Policy |
New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Amendments to MFDA Rule 5.1 (Requirement for Records) |
|
|
| #0465-M |
01/27/11 |
Membership Information |
2011 Financial Filing Deadlines |
|
|
| #0464-M |
01/27/11 |
Membership Information |
Decision of Panel of the British Columbia Securities Commission |
|
|
| #0463-P |
01/21/11 |
Policy |
Transition Periods to Adopt International Financial Reporting Standards and Other Form 1 Amendments |
|
|
| #0462-P |
01/21/11 |
Policy |
Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report |
|
|
| #0461-P |
01/12/11 |
Policy |
Request for Comment – Consultation Related to Incorporated Salespersons |
|
|
