Second publication for comment of proposed amendments to MFDA Policy No. 3 - Handling Client Complaints

View PDF of Proposed Amendments to MFDA Policy No.3 PDF 
View PDF of Summary of Public Comments PDF 

Date published: March 13, 2009
Comment period expires: May 12, 2009

The Commission is publishing proposed amendments to MFDA Policy No. 3 - Handling Client Complaints for a second comment period.  The MFDA revised its proposal after consultations between the CSA, MFDA and Investment Industry Regulatory Organization of Canada (IIROC) about their complaint handling policies.  The comment period expires on May 12, 2009