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