MFDA Policies set minimum industry standards that expand on prescriptive requirements that Members are required to comply with.
|Policy No. 1||17 March, 2016||
New Registrant Training and Supervision
|Policy No. 2||19 January, 2017||
Minimum Standards for Account Supervision
|Policy No. 3||1 February, 2010||
Complaint Handling, Supervisory Investigations and Internal Discipline
|Policy No. 4||30 April, 2012||
Internal Control Policy Statements
|Policy No. 5||19 January, 2017||
Branch Review Requirements
|Policy No. 6||17 March, 2016||
Information Reporting Requirements
|Policy No. 7||15 July, 2016||
Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at email@example.com, or via telephone at 416-361-6332 or 1-888-466-6332.