SRO Rules and Responses

Rules enacted and enforced by the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) are important to a smooth functioning investment funds industry and contribute to Canadian investor security and confidence. IFIC supports these two bodies by commenting and providing industry input on prospective rule changes as the MFDA and IIROC respond to an evolving marketplace and investor needs.

Documents

2019

IFIC Submission - MFDA (P. Ward) - MFDA Bulletin #0782-P – Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) (July 31, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - By-law No 1 - Subsection 24.A (Ombudservice) (June 26, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - Records, Examinations and Investigatory Powers (June 19, 2019)

IFIC Submission - MFDA (P. Ward) - MFDA By-law No 1 - Election and term, governance and quorum (June 12, 2019)

2018

IFIC Comment Letter - MFDA - Proposed MFDA Rules 1.2 and 1.2.6 and Proposed MFDA Policy No. 9 (Continuing Education Requirements) (June 19, 2018)

2017

IFIC Submission – MFDA – Proposed Continuing Education Requirements (April 27, 2017)

IFIC Stresses Importance of Robust, Consistent Suitability Process

IFIC Submission — IIROC — Proposed Guidance on Order Execution Only Services and Activities (February 3, 2017)

IFIC Submission – MFDA – Misleading Business Titles (Rule 1.2.5) (January 25, 2017)

2016

IFSE Submission – MFDA and BCSC – ETF Proficiency (September 28, 2016)

IFSE Submission to MFDA and BCSC on ETF Proficiency - September 28, 2016

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