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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.

Click here for a short summary of the requirements and details of the exams that must be written by each Key Individual and Representative.

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

Click here to Read More.

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

Click here to view all Board Notices.

Newsletter Signup

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

Click here to signup for the newsletter.

Compliance Risk Profile Register

Please provide your email address and whether or not there are any representatives employed or mandated by the provider.

Providers who do have representatives will be presented with a different set of questions to providers who do not have any representatives.

Once the questions have been completed and your responses have been submitted, the system will generate the report and this will be emailed to you shortly.

You will also receive our Compliance Procedures Checklist booklet.

No record is kept of your responses and your score will be added to the overall score of all respondents to arrive at an adjusted average.

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Compliance Risk Profile Register

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