MFDA Policies

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

Policy Document Description Language

Policy No. 1 – New Registrant Training and Supervision (as amended, March 17, 2016) English language icon French language icon

Policy No. 2 – Minimum Standards for Account Supervision (as amended, March 17, 2016) English language icon French language icon

Policy No. 3 – Complaint Handling, Supervisory Investigations and Internal Discipline (as amended, February 1, 2010)

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Policy No. 4 – Internal Control Policy Statements (as amended, April 30, 2012) English language icon French language icon

Policy No. 5 – Branch Review Requirements (as amended, March 17, 2016) English language icon French language icon

Policy No. 6 – Information Reporting Requirements (as amended, March 17, 2016) English language icon French language icon

Policy No. 7 – Performance Reporting (first published December 19, 2014, amended June 29, 2015) Housekeeping amendments to Policy No. 7 have received required regulatory approvals, as set out under MFDA Bulletin #0649-P. Policy No. 7, as amended becomes effective on July 15, 2016. English language icon French language icon

Click here for a list of Policy Amendments.



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