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Bulletin #0193-C

For further information, please contact:

Karen McGuinness
Senior Vice President, Member Regulation, Compliance
Compliance
For Distribution to Relevant Parties within your Firm

Compliance Examination – Document Request Lists and Examination Questionnaire

The MFDA is issuing this Bulletin to assist Members in preparing for the second round of compliance examinations.

Attached to this Bulletin are sample lists of the types of documents and information that will be requested by MFDA staff prior to an examination.

Each Member will be notified prior to the compliance examination of the documents and information requested and the deadline by which they are to be provided to the MFDA.

The second phase of compliance examinations will focus on reviewing deficiencies identified in the first phase, as well as Member resolution of these deficiencies. For a list of common deficiencies identified by MFDA staff during compliance examinations, please refer to Bulletins #0056- C – Common Deficiencies Noted During On-Site Examinations of Members and #0183-C – Second Round of Compliance Examinations.

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