Industry

REQUEST FOR COMMENT

MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA)

PROPOSED AMENDMENTS TO MFDA RULE 1.1.2
(COMPLIANCE BY APPROVED PERSONS)

 

The MFDA is publishing for public comment proposed amendments (Proposed Amendments) to MFDA Rule 1.1.2 which currently requires Approved Persons to comply with MFDA by-laws and rules.  The primary objective of the Proposed Amendments is to expressly require compliance with applicable securities legislation relating to the operations, standards of practice and business conduct of MFDA Members and Approved Persons.

A copy of the MFDA Notice, including the text of the Proposed Amendments, is published on our website at www.osc.gov.on.ca.  The comment period ends on April 29, 2020.