top of page
regulatory-modules-headerV2.jpg

Regulatory Content

 

 

​

​

​

​​

​

​

Ensuring Compliance across your Organization in an easier way.

​

​

We deliver ......     

Content: Welcome

Trusted regulatory content for:

  • ​Banks, 

  • Trust Companies,

  • Insurance Companies, 

  • Securities Companies

  • Money Services Businesses​

  • Payment Service Providers

  • General Insurance Brokerages & Brokers

  • Life Insurance Agencies & Agents

Canadian Requirements presented as plain language control objectives

Specific citations and links to full-text sources.
 
Modules updated quarterly to meet changing requirements with the assistance of leading Law Firms.​

Content: Services

Banks, Trusts, and Loan Companies

Ethidex modules built to address key focus areas for Banks, Foreign Bank Branches and Trust Companies, with Acts, Regulations and other guidance integrated into Control Objectives with citations.

iconfinder_4230538_business_success_team success_victory_win_icon_256px.png

Governance, Management of Risks and Capital

  • Bank Act (BA) Module (inc. OSFI)

  • AMF Guidelines Module

  • FCAC Cost of Borrowing Module

iconfinder_4230562_business loss_descending_financial_loss_icon_256px.png

AML/ATF Module

  • Addressing the proceeds of crime (money laundering) Terrorist Financing Act, its regulations and FINTRAC Guidelines

iconfinder_4230548_confusion_doubt_frustration_question_icon_256px.png

Privacy Module

  •  Addressing protection of personal information under the federal PIPEDA, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

iconfinder_4230537_business_group_team_icon_256px.png

Human Resources

  • HR - Canadian Labour Code (CLC) 

  • Accessibility for the Disabled (AODA)

iconfinder_4230527_business_chart_pie chart_icon_256px.png

Other Focus Areas

  • FATCA Module

  • CRS Module

  • Internal Audit Module

  • Canada’s Anti-Spam Legislation (CASL) Module

  • To help address the question – “what other Regulations might be relevant” we created the Survey of Laws Module

iconfinder_4230515_businessman_discount_percent_percentage_sale_icon_256px.png

Risk Modules

  • Regulatory Compliance Risk Module Management (RCRM) Module

  • Operational Risk Management (ORM) Module

  • Cyber Security (two separate modules)

  • CDIC Requirements Module

Content: Dienstleistungen

Insurance Companies

Ethidex modules built to address key focus areas for Insurers, with Acts, Regulations and other guidance, integrated into Control Objectives with citations.  Where appropriate, modules are tailored for: a Life Insurance Company, a P&C Insurance Company, a Branch of a Foreign Life Insurance Company, a Branch of a Foreign P&C Company, etc.

iconfinder_4230539_audience_customer_target_team_icon_256px.png

Modules for Federally Licensed Insurance Companies

  • Insurance Companies Act (ICA) Module (inc. OSFI) (Life, P&C, Company, Branch, etc)

  • AMF Guidelines Module 

  • OSFI Guidelines (available separately)

iconfinder_4230562_business loss_descending_financial_loss_icon_256px.png

AML/ATF Module

  • Addressing the proceeds of crime (money laundering) Terrorist Financing Act, its regulations and FINTRAC Guidelines

7830714_analytics_graph_bar_icon.png

Market Conduct and Insurance Products Regulation

  • Market Conduct Modules (Life, P&C)

  • Privacy Module (Life, P&C)

iconfinder_4230537_business_group_team_icon_256px.png

Human Resources

  • Employment Standards Module 

  • Accessibility for the Disabled Act (AODA)

iconfinder_4230527_business_chart_pie chart_icon_256px.png

Other Focus Areas

  • Canada’s Anti- Spam Legislation

  • Internal Audit Module

  • FATCA Module

  • CRS Module

  • To help address the question – “what other Regulations might be relevant” we created the Survey of Laws Module

iconfinder_4230515_businessman_discount_percent_percentage_sale_icon_256px.png

Risk Modules

  • Regulatory Compliance Risk Management (RCRM)

  • Operational Risk Management (ORM) 

  • Cyber Security, two separate modules

Content: Dienstleistungen

Securities Companies

Ethidex modules built by our partner law firms to address key regulatory compliance areas of focus for Securities Companies – Federal, Provincial, Securities Commissions, MFDA - with requirements captured in consolidated Control Objectives with citations.

iconfinder_4230550_analytics_board_presentation_icon_256px.png

Securities Legislation Compliance Modules

  • The Portfolio Manager Module

  • Investment Fund Manager

7830714_analytics_graph_bar_icon.png

Registration Requirements Modules

  • Dealer Module

  • Portfolio Manager

  • Investment Fund Manager

iconfinder_4230553_magnifier_pie chart_search_icon_256px.png

Independent Review Committee (IRC) Modules 

  • Manager Module

  • Committee

iconfinder_4230559_analytics_career_growth_icon_256px.png

MFDA Module

  • MFDA rules and reference to related National Instruments

iconfinder_4230562_business loss_descending_financial_loss_icon_256px.png

AML/ATF Module

  • Addressing the proceeds of crime (money laundering) Terrorist Financing Act, its regulations and FINTRAC Guidelines

iconfinder_4230548_confusion_doubt_frustration_question_icon_256px.png

Privacy Module

  •  Addressing protection of personal information under the federal PIPEDA, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

iconfinder_4230537_business_group_team_icon_256px.png

Human Resources

  • HR - Employment Standards Act Module 

  • Accessibility for the Disabled (AODA) Module

iconfinder_4230527_business_chart_pie chart_icon_256px.png

Other Focus Areas

  • FACTA Module

  • CRS Module 

  • Canadas Anti-Spam Legislation (CASL) Module

Content: Dienstleistungen

Money Services Businesses and Payment Service Providers

Ethidex modules built by our partner law firms to address key regulatory compliance areas of focus for Money Services Businesses (MSBs) and Payment Service Providers (PSPs).

iconfinder_4230550_analytics_board_presentation_icon_256px.png

FINTRAC & AML/ATF Module

  • FINTRAC Guidance

  • PCMLTFA

  • Sanction Laws

  • Ministerial Directives

7830714_analytics_graph_bar_icon.png

RPAA Module

  • Retail Payments Activities Act

  • Supervisory Guidelines and Policies

iconfinder_4230553_magnifier_pie chart_search_icon_256px.png

Employment Standards 

  • HR - Employment Standards Act Module 

  • Accessibility for the Disabled (AODA) Module

iconfinder_4230548_confusion_doubt_frustration_question_icon_256px.png

Privacy Module

  •  Addressing protection of personal information under the federal PIPEDA, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

iconfinder_4230562_business loss_descending_financial_loss_icon_256px.png

French Language Module

  • Requirements under the Charter of the French Language

Managing General Agencies, Agents, Brokerages and Brokers

Ethidex modules built by our partner law firms to address key regulatory compliance areas of focus for Agencies and Agents for Life Insurance and Brokerages and Brokers for P&C Insurance.

iconfinder_4230550_analytics_board_presentation_icon_256px.png

Life Insurance - Agency and Agent Requirements

  • National (CCIR & CISRO)

  • Ontario

  • British Columbia

  • Quebec

  • Additions planned

7830714_analytics_graph_bar_icon.png

General Insurance - Broker and Brokerage Requirements.

  • National (CCIR & CISRO)

  • Ontario

  • Alberta

  • British Columbia

  • Additions planned

iconfinder_4230553_magnifier_pie chart_search_icon_256px.png

Employment Standards 

  • HR - Employment Standards Act Module 

  • Accessibility for the Disabled (AODA) Module

iconfinder_4230548_confusion_doubt_frustration_question_icon_256px.png

Privacy Module

  •  Addressing protection of personal information under the federal PIPEDA, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

iconfinder_4230562_business loss_descending_financial_loss_icon_256px.png

French Language Module

  • Requirements under the Charter of the French Language

iconfinder_4230550_analytics_board_presentation_icon_256px.png

FINTRAC & AML/ATF Module

  • FINTRAC Guidance

  • PCMLTFA

  • Sanction Laws

  • Ministerial Directives

©2022 Ethidex

  • LinkedIn
bottom of page