Regulatory Library

Industry legislation, notices, determinations and more

Latest documents

Advisory: FATF Public Statement on jurisdictions under increased monitoring – Feb 2020

FIC - 2 March 2020

Advisory: FATF Public Statement on high-risk jurisdictions that are subject to a call for action – Feb 2020

FIC - 2 March 2020

Public Compliance Communication (PCC 42): Supervisory Body access to suspicious and unusual Transactions Reports

FIC - 28 February 2020

Public Compliance Communication (PCC 43): Customer Due Diligence in relation to shared clients of accountable institutions

FIC - 27 February 2020

DRAFT PCC 109: Guidance on the commencement and enforcement of the FIC Act as amended

FIC - 27 February 2020

FSCA Perimeter Report 2020

FSCA Notices - 25 February 2020

Circular 12 of 2020: LCBO and Demarcation Update

Health - 21 February 2020

CMS Press Release 2 of 2020: LCBO and Demarcation Stakeholder engagements a success

Health - 21 February 2020

FAIS Workshop for small FSPs 2019/20

FSCA Presentations - 19 February 2020

RE Preparation Guide

Regulatory Exams - 13 February 2020

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A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.

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