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Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)

Comment Letters

• Kenmar Associates

Proposed Consequential Amendments to MFDA Rules Resulting from National Instrument 31 - 103 Registration Requirements and Exemptions

Comment Letters

• BMO Mutual Funds
• Desjardins Fédération des caisses du Québec
• IGM Financial Inc.
• Investment Funds Institute of Canada
• Quadrus Investment Services Ltd.
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd.

Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1

Comment Letters (Second Publication)

• Independent Financial Brokers (PDF)
• Partners in Planning Financial Services Ltd.; attachment - Gowling Lafleur Henderson LLP
• Portfolio Strategies (PDF)
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd. (PDF)

Comment Letters (First Publication)

• Kenmar Investor Protection (PDF)
• Portfolio Strategies Corporation (PDF)

Section 35 of MFDA By-law No. 1 (No Actions Against the Corporation)

Comment Letters

• Independent Financial Brokers (PDF)
• Investment Funds Institute of Canada (PDF)
• Portfolio Strategies (PDF)
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd. (PDF)

Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision

Comment Letters (second publication)

• Advocis (PDF)
• Canadian Foundation for Advancement of Investor Rights (PDF)
• IGM Financial Inc. (PDF)
• Independent Financial Brokers (PDF)
• Investment Funds Institute of Canada (PDF)
• PFSL Investments Canada Ltd. (PDF)
• Quadrus Investment Services Ltd. (PDF)
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd. (PDF)
• Scotia Securities Inc. (PDF)
• TD Investment Services Inc. (PDF)

Comment Letters (first publication)

• Advocis (PDF)
• Assante Wealth Management (PDF)
• Association of Canadian Compliance Professionals (PDF)
• BMO Mutual Funds (PDF)
• Borden Ladner Gervais (PDF)
• Canfin Financial Group (PDF)
• Federation of Mutual Fund Dealers (PDF)
• Independent Financial Brokers (PDF)
• Independent Planning Group Inc. (PDF)
• Investment Funds Institute of Canada (PDF)
• Investment Industry Association of Canada (PDF)
• Investors Group Financial Services Inc. (PDF)
• PFSL Investments Canada Ltd. (PDF)
• Royal Mutual Funds (PDF)
• Scotia Securities Inc. (PDF)
• Worldsource Financial Management (PDF)

Proposed Amendments to MFDA Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)

Comment Letters (second publication)

• Advocis (PDF)
• Canadian Foundation for Advancement of Investor Rights (PDF)
• IGM Financial Inc. (PDF)
• Independent Financial Brokers (PDF)
• Investment Funds Institute of Canada (PDF)
• PFSL Investments Canada Ltd. (PDF)
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd. (PDF)
• TD Investment Services Inc. (PDF)

Comment Letters (first publication)

• Advocis (PDF)
• Assante Wealth Management (PDF)
• Canfin Financial Group (PDF)
• Federation of Mutual Fund Dealers (PDF)
• Independent Financial Brokers (PDF)
• Investment Funds Institute of Canada (PDF)
• Investment Industry Association of Canada (PDF)
• Investors Group Financial Services Inc. (PDF)
• Kenmar Investor Protection (PDF)
• PFSL Investments Canada Ltd. (PDF)
• Royal Mutual Funds Inc. (PDF)
• Scotia Securities Inc. (PDF)
• Worldsource Financial Management (PDF)

Amendment to MFDA Policy 3 - Handling Client Complaints

Comment Letters (second publication)

• Association of Canadian Compliance Professionals (PDF)
• BMO Investments Inc. (PDF)
• Federation of Mutual Fund Dealers (PDF)
• Independent Financial Brokers of Canada (PDF)
• Investment Funds Institute of Canada (PDF)
• HUB Capital Inc. (PDF)
• IGM Financial Inc. (PDF)
• Kenmar Associates (PDF)
• PFSL Investments Canada Ltd (PDF)
• Quadrus Investment Services Ltd. (PDF)
• Royal Mutual Funds Inc. and Phillips, Hager & North Investment Funds Ltd. (PDF)
• Scotia Securities Inc. (PDF)
• Small Investor Protection Association (PDF)
• Sun Life Financial Investment Services (Canada) Inc. (PDF)

Comment Letters (first publication)

• Desjardins Financial Security Investments Inc. (PDF)
• Investment Funds Institute of Canada ("IFIC") (PDF)
• Royal Mutual Funds Inc. (PDF)
• Worldsource Financial Management (PDF)

Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons – Dual Occupations)

Comment Letters

• Financial Planners Standards Council (PDF)
• Ryan, Lamontagne and Associates (PDF)

Proposed Amendments to MFDA Rule 2.6 (Borrowing for Securities Purchases)

Comment Letters

• Association of Canadian Compliance Professionals (PDF)
• Independent Financial Brokers (PDF)
• Independent Planning Group (PDF)