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Regulatory Exams

There has been a lot of discussion relating to the Regulatory Exams that must be written by all financial services providers by June 2012.

New Products

Guide to the 2011 Compliance Report for Category I Providers with a Compliance Officer
Risk Management - Guide to Essential Procedures
Risk Management Procedures Manual

New Board Notices

The 2010 Compliance Reports have been added to our list.
Board Notice 74 of 2009 - Levies on Financial Institutions
Our Comments on Board Notice 74 of 2009
Board Notice 37 of 2009 - Notice on Requirements for Professional Indemnity and Fidelity Insurance Cover for Providers, 2009

Please click the link below to view all Board Notices and to download your copy of the 2009 Category I Compliance Report

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