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ARTICLE · 02 OCTOBER 2014

Guidance On Use Of Investor Questionnaires

Borden Ladner Gervais LLP
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With recognition that several of its members use or are considering the investor questionnaires, the MFDA has developed a discussion paper on the issue.

CanadaFinance and Banking
Devin Persaud
Devin Persaud
Laura Paglia
Laura Paglia
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With recognition that several of its members use or are considering the investor questionnaires to assist in the know-your-client process, the MFDA has developed a discussion paper on the issue. The paper discusses many topics such as designing an investor questionnaire, implementation considerations, benefits and limitations of employing a questionnaire and a Sample Investor Questionnaire attached as an appendix.

For a full text of the discussion paper, see MFDA Bulletin #0611-C.

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