COMPLIANCE: On July 3, 2007, the Mutual Fund Dealers Association of Canada (“MFDA”) approved MFDA Policy No. 6 (Information Reporting Requirements), which establishes minimum reporting requirements concerning events that Approved Persons are required to report to Members and events that Members are required to report to the MFDA pursuant to Rule 1.2.5.
REGULATORY: Two recent decisions from the Investment Dealers Association of Canada (the “IDA”) emphasize the rights of respondents who are the subjects of IDA investigations: Re Vitug and Re Credifinance Securities Limited.

type Brokers' Report - September 2007