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.

• Compliance Tools & Information
• Adviser & Dealer Annual Reports
• Anti-Money Laundering & Terrorism Reporting
• Registrant Newsletters
• Other Resources
• Contact the BCSC Examiners

• Understanding Your BCSC Compliance Examination 
• Role of the Chief Compliance Officer (CCO) 
• Questions to Ask when Preparing a Policies and Procedures Manual (PPM) 
• Financial Filings and Working Capital 
• Financial Filings Issues and the Transition to International Financial Reporting Standards (IFRS) 
• BCSC Examinations Risk Assessment Model 
• Prospectus Exemptions for Registrants
  • Private and Early Stage Businesses - Prospectus exemption information for Issuers 
• Ethics 
• Compliance Deficiency Chart 

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Adviser & Dealer Annual Reports

• 2012 Compliance Report Card  
• 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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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

• Winter 2013  
• 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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