Policies

Français

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

No.DateTitle
Policy No. 1March 17, 2016

New Registrant Training and Supervision

Policy No. 2January 19, 2017

Minimum Standards for Account Supervision

Policy No. 3February 1, 2010

Complaint Handling, Supervisory Investigations and Internal Discipline

Policy No. 4April 30, 2012

Internal Control Policy Statements

Policy No. 5January 19, 2017

Branch Review Requirements

Policy No. 6March 17, 2016

Information Reporting Requirements

Policy No. 7January 4, 2018

Performance Reporting

Policy No. 8July 20, 2017

Proficiency Standard for Approved Persons selling Exchange Traded Funds (“ETFs”)

Policy No. 9

Continuing Education (“CE”) Requirements – Pending - Not Yet In Force

Policy No. 10April 12, 2018

Disclosure of MFDA Membership

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.