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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

Newsletter Signup

These are delivered infrequently and only when something important needs to be communicated . . .

Levy Calculator

Please note that this calculator is intended for Category I and IV providers only

Provide us with you details and email address and we will send you a PDF document with details of each of the levies payable.

There are two scales of levy payable by Category I and IV providers. Please be sure to select the option that applies to your business.

All Category I and IV providers - other than providers who render financial services only in connection with funeral policies (financial products belonging to long-term Insurance Category
All Category I providers who render financial services only in connection with funeral policies (financial products belonging to long-term Insurance Category A)


Option:	All Category I and IV providers - other than providers who render financial services only in connection with funeral policies All Category I providers who render financial services only in connection with funeral policies
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