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Bulletin #0431-C

Compliance
Leverage Guide, Leverage Review Worksheet & Approved Person Leveraging Analysis Template

Contact: Ken Woodard
BULLETIN #0431 – C
Director, Communications & Membership Services
April 7, 2010

Phone: (416) 943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Compliance

For Distribution to Relevant Parties within your Firm

Leverage Guide, Leverage Review Worksheet & Approved Person
Leveraging Analysis Template

On April 14, 2008, MFDA staff issued Member Regulation Notice MR-0069 – “Suitability
Guidelines” which provided guidance on assessing the suitability of leveraging.

To further assist Members in complying with their suitability obligation, the MFDA has prepared
a Leveraging Supervision Guide. The Guide is intended to assist Members in developing
adequate policies and procedures and supervisory practices regarding leverage recommendations.
In addition, the Guide includes tools which can be used to review assess and approve specific
leverage recommendations and review Approved Person leverage activity.

The guide and the tools can be found on the Members Only Site in the Compliance Practitioners
Manual
.

DOCs#207002v2