MFDA publishes guidance on use of investor questionnaires

July 22, 2014

Earlier this week, the MFDA released a discussion paper intended to provide guidance on the use by mutual fund dealers of investor questionnaires to assist in the know-your-client process. Among other things, the paper discusses topics such as designing an investor questionnaire, implementation considerations and the benefits and limitations of employing a questionnaire.

For more information, see MFDA Bulletin #0611-C.

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