policy-and-regulation-banner

Policies

Français

MFDA Policies set minimum industry standards that expand on prescriptive requirements that Members are required to comply with.

No. Date Title
Policy No. 1 17 March, 2016

New Registrant Training and Supervision

Policy No. 2 17 March, 2016

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 17 March, 2016

Branch Review Requirements

Policy No. 6 17 March, 2016

Information Reporting Requirements

Policy No. 7 15 July, 2016

Performance Reporting