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Anti-Money Laundering Compliance Guidance

A IV – From MFDA website – Disciplines for Forgery – Pg 28 A V – News articles on FORGERY practices – Pg 36 . SMALL INVESTOR PROTECTION ASSOCIATION A Voice for Small Investors Seeking Truth and Justice SIPA – website: www.sipa.ca – e-mail: sipa.toronto@gmail.com e 3 FOREWORD The truth is Canadians are losing billions of dollars of their savings every year due to …



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Bulletin #0578-P “Opening Your Investment Account

Canada (the “MFDA”), the Bourse de Montreal Inc. and the Investment Dealers Association of Canada (the “IDA”) issued “The Role of Compliance and Supervision” notice (IDA Member Regulation …

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Association of anada (“MFDA”) (“Know-Your- Minimum

MFDA is the self-regulatory organization in Canada to which your mutual fund dealer belongs. The MFDA investigates complaints about The MFDA investigates complaints about mutual fund dealers and their representatives, and takes enforcement action where appropriate.



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FORGERY SIPA Small Investor Protection Association

The MFDA states that current Rule 2.2 addresses the basic business conduct and client record requirements that Members must satisfy with respect to client accounts maintained by the Members.

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Notice of BCSC Non-Objection to Proposed bcsc.bc.ca
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MUTUAL FUND DEALERS ASSOCIATION OF CANADA Client

1 November 30, 2015 Marsha Gerhart Vice-President, Member Regulation Policy Investment Industry Regulatory Organization of Canada 121 King St. West, Suite 2000 Toronto, Ont., M5H 3T9

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Bulletin #0611-C MFDA

WELCOME AND THANK YOU for your interest in the electronic messaging compliance services of Global Relay for Canadian firms subject to IIROC and MFDA requirements.

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FORGERY SIPA Small Investor Protection Association

View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision

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1 November 30, 2015 Marsha Gerhart Vice-President, Member Regulation Policy Investment Industry Regulatory Organization of Canada 121 King St. West, Suite 2000 Toronto, Ont., M5H 3T9

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OSC Staff Notice of Commission Approval MFDA Amendments

The know-your-client (“KYC”) process is one of the most fundamental obligations under securities legislation and one of the most important elements of investor protection.

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Summary of Funds Direct Canada Inc. Client Complaint

regulations and policies of the self-regulatory organization except to the extent that such by-laws, rules or regulations are inconsistent with this Act, the regulations or the policies of the Commission.

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Summary of Funds Direct Canada Inc. Client Complaint

Introduction. This Policy establishes minimum industry standards for account supervision. These standards represent the minimum requirements necessary to ensure that a Member has procedures in place to properly supervise account activity.

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What’s New at FSCO – Mortgage Brokering

MFDA is the self-regulatory organization in Canada to which your mutual fund dealer belongs. The MFDA investigates complaints about The MFDA investigates complaints about mutual fund dealers and their representatives, and takes enforcement action where appropriate.

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FIERA CAPITAL FUNDS INC. ( FCFI SUMMARY OF COMPLAINT

uBy completing the on-line complaint form at www.mfda.ca uBy telephone in Toronto at 416-361-6332, or toll free at 1-888-466-6332 uBy e-mail at complaints@mfda.ca 1 uIn writing by mail to 121 King Street West, Suite 1000, Toronto, ON M5H 3T9 or by fax at 416-361-9073 COMpENSATION: The MFDA does not order compensation or restitution to clients of Members. The MFDA exists to regulate the

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