Canada:
Guidance On Use Of Investor Questionnaires
02 October 2014
Borden Ladner Gervais LLP
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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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