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Policies

MFDA Rules and Policies will be replaced by New SRO Mutual Fund Dealer Rules on January 1, 2023.

The New SRO Mutual Fund Dealer Rules are available on the New Self-Regulatory Organization of Canada website.

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

No. Date Title
Policy No. 1 March 17, 2016 New Registrant Training and Supervision
Policy No. 2 December 31, 2021 Minimum Standards for Account Supervision
Policy No. 3 February 1, 2010 Complaint Handling, Supervisory Investigations and Internal Discipline
Policy No. 4 April 30, 2012 Internal Control Policy Statements
Policy No. 5 January 19, 2017 Branch Review Requirements
Policy No. 6 March 17, 2016 Information Reporting Requirements
Policy No. 7 January 4, 2018 Performance Reporting
Policy No. 8 August 12, 8800 Proficiency Standard for Approved Persons selling Exchange Traded Funds (“ETFs”)
Policy No. 9 December 1, 2021 Continuing Education (“CE”) Requirements
Policy No. 10 December 31, 2018 Disclosure of MFDA Membership
Policy No.11 July 21, 2022 Proficiency Standards for the Sale of Alternative Mutual Funds

Please click here to view a list of policy amendments.

Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or 1-888-466-6332.