MFDA Rules and Policies were 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 [email protected], or via telephone at 416-361-6332 or 1-888-466-6332.
