Policies

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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 January 19, 2017

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 July 15, 2016

Performance Reporting

Policy No. 8 July 20, 2017

Proficiency Standard for Approved Persons selling Exchange Traded Funds (“ETFs”)

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 membershipservices@mfda.ca, or via telephone at 416-361-6332 or 1-888-466-6332.