From time to time, MFDA staff receives requests from Members for guidance and our view on best practices to assist in meeting their compliance and supervisory obligations under MFDA Rules. While MFDA staff recognizes that there may be different ways to comply with requirements under MFDA Rules, in an effort to assist Members in developing adequate policies and procedures and supervisory practices MFDA staff has developed Guides on specific topics. These Guides include suggestions and recommended industry best practices and may also include tools such as worksheets, checklists and sample forms and templates to assist Members in meeting their compliance and supervisory obligations.
