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 - May 2010
- Adviser Forums - June 2008
- 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 - May 2010
- Registrant newsletter, Spring 2010, Issue 13
- 2009 Examinations Report Card
- Compliance Deficiency Chart
Adviser Forums - June 2008
material from past forums
- Adviser Forum Agenda
- Update on Proposed NI 31-103 Registration Requirements Presentation Slides
- 2008 Adviser Annual Report
- Compliance Deficiency Chart
- FINTRAC Information for Securities Dealers
Adviser Notices
Adviser & Dealer Annual Reports
- 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
Compliance Tools & Information
- Dealers and their salespersons (BC Interpretation Note 33-703)
- For financial planners
- Policy and Procedure Manual Checklist
- Questions & Answers about compliance
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
Registrant Newsletters
- Spring 2010
- Winter 2009
- Summer 2009
- Fall 2003
- January 2003
- Fall 2002
- Fall 2001
- Winter 2001
- Summer 2000
- Summer 1999
- Fall 1998
- Fall 1997
TOP
Other Resources
- BCSC Toolkit for conducting background research that can assist you with meeting your gatekeeper obligations
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.
Contact the BCSC Examiners
Michael Sorbo, CGA, CFA
|
Janice Leung, CA, CFA
|
Ray Harding, CGA
|
Edwin Leong
|
Jason Chan, CA.CIA, CPA |
Lena Lew Administrative Assistant (604) 899-6650 llew@bcsc.bc.ca |