MFDA Rules and Policies were replaced by CIRO Mutual Fund Dealer Rules on January 1, 2023.
The CIRO Mutual Fund Dealer Rules are available on the Canadian Investment Regulatory Organization website.
MFDA Policies set minimum industry standards that expand on prescriptive requirements that Members are required to comply with.
No. | Date | Title |
---|---|---|
Policy No. 1 | March 17, 2016 | New Registrant Training and Supervision |
Policy No. 2 | December 31, 2021 | Minimum Standards for Account Supervision |
Policy No. 3 | February 1, 2010 | Complaint Handling, Supervisory Investigations and Internal Discipline |
Policy No. 4 | April 30, 2012 | Internal Control Policy Statements |
Policy No. 5 | January 19, 2017 | Branch Review Requirements |
Policy No. 6 | March 17, 2016 | Information Reporting Requirements |
Policy No. 7 | January 4, 2018 | Performance Reporting |
Policy No. 8 | August 12, 8800 | Proficiency Standard for Approved Persons selling Exchange Traded Funds (“ETFs”) |
Policy No. 9 | December 1, 2021 | Continuing Education (“CE”) Requirements |
Policy No. 10 | December 31, 2018 | Disclosure of MFDA Membership |
Policy No.11 | July 21, 2022 | Proficiency Standards for the Sale of Alternative Mutual Funds |
Please click here to view a list of policy amendments.
Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at [email protected], or via telephone at 416-361-6332 or 1-888-466-6332.