Compliance Toolkit
The Compliance Toolkit helps registrants easily access essential information about the rules and regulations that guide their daily operations.
It covers a wide range of topics including compliance examinations, the role of the Chief Compliance Officer, financial filings, client relationship standards, ethics, and regulatory obligations.
You will also find our Annual Compliance Report Card in this section.
Adviser & Dealer Report Cards
This annual report summarizes the findings that our compliance teams made in the course of their reviews of the compliance programs of B.C.-based portfolio managers (Advisers or PMs), investment fund managers (IFMs), and exempt market dealers (EMDs).
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