Policy
Client Disclosure Sweep
Contact: Ken Woodard
BULLETIN #0534 – P
Director, Communications & Membership Services
July 5, 2012
Phone: 416-943-4602
E-mail: [email protected]
MFDA Bulletin
Member Information
For Distribution to Relevant Parties within your Firm
Client Disclosure Sweep
In March 2012, Members were sent an email asking them to complete the MFDA 2012 Annual
Questionnaire.
The Questionnaire asked Members to attach a copy of their current:
• Relationship Disclosure Document;
• Complaint Handling Summary (including a link to the document where it is also
available on the Member’s website); and
• Client Complaint Information Form (CCIF).
Staff will be reviewing the documents received and will be communicating with Members
individually to discuss any issues identified. In addition, staff intends to issue common findings
and further guidance through future communications.
DM#300505v2
