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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.

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

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 FAIS COMPLIANCE GUIDE 2011