MFDA Forms

MFDA Forms are available in both French and English, and can be viewed and/or printed by clicking on the appropriate language link below.

Document Language
FORM 1 (IFRS) - For all MFDA Members effective for their fiscal years beginning on or after January 1, 2011, as amended February 2013 English language icon French language icon
Financial Questionnaire and Report (CGAAP), as amended March 23, 2011 English language icon French language icon
"Bare Trustee" Custodial Agreement (Schedule A to MR-0058) English language icon French language icon
Other Custodial Agreements:
  • Non-Certified Debt Instrument
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  • Member/Custodian Agreement
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Agent's Agreement (MFDA Notice MR-0011)    
  • Certificate Regarding Agent's Agreement between Members and Approved Persons
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  • Counsel's Opinion Regarding Agent's Agreement between Members and Approved Persons
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  • Override Acknowledgement
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Agreement made pursuant to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) (Schedule A to MR-0072) English language icon French language icon
Certificate of Partners or Directors (Form 1) English language icon French language icon
Client Complaint Information (MFDA Notice MR-0073) English language icon French language icon
Confirmation of Completion of New Registrant Training and Supervision Program (MFDA Policy No. 1) English language icon French language icon
Consent to Release of MFDA Enforcement Activity History and Release from Liability English language icon French language icon
Independent Auditor's Report for Statements A, D and E (Form 1 – CGAAP) English language icon French language icon
Independent Auditor's Report for Statements A, D and E (Form 1 – IFRS) English language icon French language icon
Independent Auditor's Report for Statements B, C and F (Form 1 – CGAAP) English language icon French language icon
Independent Auditor's Report for Statements B, C and F (Form 1 – IFRS) English language icon French language icon
Limited Trading Authorization (MFDA Notice MR-0038) English language icon French language icon
MFDA Investor Protection Plan Brochure (MFDA Bulletin #0175-M) English language icon French language icon
MFDA Membership Application Package (complete) English language icon French language icon
  • Membership Application Guide
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  • MFDA Membership Application Form
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  • MFDA Application Checklist
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  • Schedule A - Member Fee Guidelines
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  • Schedule B - Registration Information
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  • Schedule C - Capital Requirements
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  • Schedule D - Branch & Sub-Branch Locations
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  • Schedule E - Qualification of Individuals
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  • Schedule F - Trade Names of Approved Persons
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  • Schedule G - Agreement of Approved Person
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  • Schedule H - Auditor Requirements
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  • Schedule I - Uniform Subordinated Loan Agreement
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  • Override Acknowledgement for MFDA Uniform Subordinated Loan Agreement (Schedule B)
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  • Schedule J - Undertaking Regarding Retractable Preferred Shares
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  • Schedule K - Policies and Procedures Manual
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Undertaking Preferred Shares (MFDA Notice MR-0013)
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Uniform Guarantee by Members and Related Members (MFDA Notice MR-0050) English language icon French language icon

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