Compliance Toolkit

The compliance toolkit provides registrants with easy access to frequently requested information about the rules and regulations that govern their day-to-day operations. This is an initiative of the Capital Markets Regulation division to ensure that our registrants have the necessary tools for compliance.

• What's New - September 2011
• Adviser Notices
• Adviser & Dealer Annual Reports
• Compliance Tools & Information
• Anti-Money Laundering & Terrorism Reporting
• Registrant Newsletters
• Other Resources
• Contact the BCSC Examiners

What’s New - September 2011

• 2011 Examinations Report Card
• CSA Staff Notice 31-325 - Marketing Practices of Portfolio Managers
• Registrant newsletter, Summer 2011, Issue 16 

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Adviser Notices

• Postal Strike - June 2011 Registrant Notice
• Financial Filings - February 2009 Adviser Notice 
• Out of Province Registration - 2007 Adviser Notice 
• Things you should know about hedge funds: Notice to dealers

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Adviser & Dealer Annual Reports

• 2011 Examinations Report Card 
• 2010 Examinations Report Card 
• 2009 Examinations Report Card  
• 2008 Adviser Annual Report 
• 2007 Adviser Annual Report 
• 2006 Adviser Annual Report 
• 2005 Adviser Sector Report 
• 2004 Scholarship Plan Dealer Report Card 
• 2003 Adviser Report Card 
• 2001 BC Portfolio Managers: Report on Compliance Deficiencies 

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Compliance Tools & Information

• Compliance outreach program 
• The role of compliance officer
• Understanding your compliance examination
• Branches and branch managers
• Dealers and their salespersons (BC Interpretation Note 33-703)
• For financial planners
• Policy and Procedure Manual Checklist 
• Questions & Answers about compliance
• Compliance Deficiency Chart 

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Anti-Money Laundering & Terrorism Reporting

• Monthly Reporting on Suppression of Terrorism and United Nations Act Sanctions
• FINTRAC Information for Securities Dealers 
• FINTRAC: Financial Transactions and Reports Analysis Centre 

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Registrant Newsletters

• Summer 2011
• Spring 2011
• Fall 2010  
• Spring 2010 
• Winter 2009 
• Summer 2009 

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Other Resources

• BCSC Toolkit for conducting background research that can assist you with meeting your gatekeeper obligations
• CFA Institute's Code of Ethics and Standards of Professional Conduct 
• Securities and Exchange Commission Office of Compliance Inspections and Examinations

Please note that these materials have not been reviewed for consistency with the rules and policies of the Investment Industry Regulatory Organization of Canada  or the Mutual Fund Dealers Association . Please contact your governing self-regulatory organization if you have any questions about their rules and policies.

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Contact the BCSC Examiners

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