Proposed Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and MFDA Form 1 – Financial Questionnaire and Report
On August 13, 2010, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and MFDA Form 1 – Financial Questionnaire and Report. The comment period expires on October 12, 2010.
Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)
On June 25, 2010, the British Columbia Securities Commission (“BCSC”) published for public comment proposed new MFDA Rule 2.4.4 (Transaction Fees or Charges) and proposed amendments to MFDA Rule 5.1 (Requirement for Records). The comment period expires on September 23, 2010.
Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash)
On June 25, 2010, the British Columbia Securities Commission (“BCSC”) published for public comment proposed amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash). The comment period expires on September 24, 2010.
Proposed Consequential Amendments to MFDA Rules Resulting from National Instrument 31 - 103 Registration Requirements and Exemptions
On December 23, 2009, the British Columbia Securities Commission ("BCSC") published for public comment proposed amendments to MFDA Rules and Policy No. 6 (Information Reporting Requirements) resulting from requirements established under National Instrument 31-103 Registration Requirements and Exemptions ("NI 31-103"). The comment period expired on March 23, 2010.
Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
On August 21, 2009, the British Columbia Securities Commission published for comment proposed amendments to sections 1 and 3 of the MFDA By-law No. 1. The comment period expired on September 21, 2009
First Publication
On May 23, 2008, the British Columbia Securities Commission published for comment proposed changes to the MFDA's Recognition Orders in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, New Brunswick and Nova Scotia and to the definition of "Public Director" in the MFDA's By-law No. 1. The comment period expired June 23, 2008.
Section 35 of MFDA By-law No. 1 (No Actions Against the Corporation)
On June 26, 2009, the British Columbia Securities Commission published for comment proposed amendments to Section 35 of MFDA By-law No. 1 (No Actions Against the Corporation). Comment period expired on September 24, 2009.
Second Publication for Comment of Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision
Comment period expired on July 23, 2009
First Publication
On June 13, 2008, the British Columbia Securities Commission published for comment proposed amendments to MFDA Rule 2.2 - Client Accounts and MFDA Policy No. 2 Minimum Standards for Account Supervision. Comment period expired on September 11, 2008.
Second Publication for comment of Proposed Amendments to MFDA Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)
Comment period expired on July 23, 2009
First Publication
On June 13, 2008, the British Columbia Securities Commission published for comment proposed amendments to MFDA Rules 2.8 - Client Communications and 5.3 - Client Reporting. Comment period expired on September 11, 2008.
Second Publication for Comment of Proposed Amendments to MFDA Policy No. 3 Complaint Handling, Supervisory Investigations and Internal Discipline
Comment period ended May 12, 2009
First Publication
On July 13, 2007, the B.C. Securities Commission published for comment proposed amendments to MFDA Policy 3 Handling Client Complaints. The proposed amendments were subject to a 30-day comment period. Follow this link to the BCSC website to view the proposed amendments:
Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons – Dual Occupations)
On June 27, 2008, the British Columbia Securities Commission published for comment proposed amendments to MFDA Rule 1.2.1(d) – Salespersons – Dual Occupations. Comment period expired July 28, 2008.
Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement)
On May 30, 2008, the British Columbia Securities Commission published for comment proposed amendments to MFDA Rule 1.1.6 - Introducing and Carrying Arrangement. Comment period expired June 30, 2008.
Submission by MFDA Staff to the Autorité des marchés financiers
Consultation by the AMF on the Regulatory Framework Applicable to the Mutual Fund Sector.
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MFDA Staff comments on the proposed amendments to Ombudsman for Banking Services and Investment's Terms of Reference
