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The Mutual Fund Dealers Association of Canada (MFDA) thanks the Ontario Ministry of Finance for this opportunity to provide our comments on the preliminary recommendations of the Expert Committee to consider Financial Advisory and Financial Planning Policy Alternatives.



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Title Submission - Ministry of Finance

COMPLAINT HANDLING MFDA POLICY NO. 3. Revisions to MFDA Policy No. 3 : Complaint Handling, Supervisory Investigations and Internal Discipline: came into effect on February 1, 2010. 1. This Notice is intended to provide summary information and guidance on Parts I and II of revised Policy No. 3, which relate to Complaint Handling. 2. Client complaints must be handled fairly and promptly in



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COMPLAINT HANDLING MFDA POLICY NO. 3. Revisions to MFDA Policy No. 3 : Complaint Handling, Supervisory Investigations and Internal Discipline: came into effect on February 1, 2010. 1. This Notice is intended to provide summary information and guidance on Parts I and II of revised Policy No. 3, which relate to Complaint Handling. 2. Client complaints must be handled fairly and promptly in

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TEN STAR Financial Inc. Compliance Bulletin #22 Re Pre

Introduction. This Policy establishes minimum industry standards for account supervision. These standards represent the minimum requirements necessary to ensure that a Member has procedures in place to properly supervise account activity.

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Title Submission - Ministry of Finance

An independent survey discussing the real impact of global changes in Know Your Customer (KYC) regulation on Sound Principle. Complex Reality.

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MEMBER REGULATION notice

contactcentre@fsco.gov.on.ca. Welcome to the 2017 Annual Information Return (AIR). The Financial Services Commission of Ontario (FSCO) uses the information you provide in the AIR to help identify, assess and monitor risk in the mortgage brokering sector. The deadline to file the AIR is by March 31, 2018. The reporting period is January 1 to December 31, 2017; you must file even if you did not

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NATIONAL INSTRUMENT 31-103 REGISTRATION mbsecurities.ca

For example, U.K. regulators combine elements of rate of return regulation and price cap regulation to create their form of RPI-X regulation. Some regulators use earnings sharing , 10 which is an approach that allows the operator to keep some portion of its earnings above its cost of capital and bear some portion of the difference if earnings are below the cost of capital .

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Basic Forms of Regulation

Summary of Funds Direct Canada Inc. Client Complaint Handling Procedures Funds Direct Canada Inc. has procedures in place to handle any written or verbal complaints received from clients in a fair and prompt manner. This is a summary of those procedures, which we provide to new clients, and clients who have filed a complaint. Client Complaint Information Form We also provide new clients and

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MEMBER REGULATION notice

COMPLAINT HANDLING MFDA POLICY NO. 3. Revisions to MFDA Policy No. 3 : Complaint Handling, Supervisory Investigations and Internal Discipline: came into effect on February 1, 2010. 1. This Notice is intended to provide summary information and guidance on Parts I and II of revised Policy No. 3, which relate to Complaint Handling. 2. Client complaints must be handled fairly and promptly in

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View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) View PDF of Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision

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APPENDIX “A” INVESTMENT INDUSTRY REGULATORY ORGANIZATION

MUTUAL FUND DEALERS ASSOCIATION OF CANADA PROPOSED AMENDMENTS TO MFDA BY-LAW NO. 1 I. OVERVIEW A. Current Framework On June 19, 1998, the MFDA was incorporated under Part II of the Canada Corporations

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