What We Do

Every day the MFDA works to ensure that:

  • Investors receive suitable advice
  • Investors receive accurate and complete information to make informed decisions
  • Investors are treated fairly

To accomplish this, on an ongoing basis we:

  • Establish effective and appropriate regulatory requirements
  • Inspect Member operations to assess compliance with regulatory requirements
  • Monitor Members’ financial condition
  • Investigate client complaints to ensure clients are treated fairly
  • Enforce regulatory requirements by disciplining those who violate the Rules
  • Educate Members and advisors by providing guidance and tools to facilitate compliance
  • Inform investors by providing resources to assist them in making appropriate decisions