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Regulatory Content



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Ensuring Compliance across your Organization in an easier way.

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We deliver ......     

Content: Welcome

Trusted regulatory content for:

  • ​Banks, 

  • Trust Companies,

  • Insurance Companies, 

  • Securities Companies and

  • Money Services Businesses​

Canadian Requirements presented as plain language control objectives with specific citations and links to full-text sources.


Modules are updated quarterly to meet changing requirements with the assistance of leading Law Firms.​

​Beginning with fundamental business processes, we built the Modules to capture control objectives in plain language covering applicable requirements.  This lets you manage compliance across your normal management structures.​​

Other Content can be added and managed with updates processed centrally by corporate compliance or consultants and pushed out electronically to users, selected companies and departments.

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.

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Governance, Management of Risks and Capital

  • Bank Act (BA) Module

  • AMF Guidelines Module

  • FCAC Cost of Borrowing Module

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AML/ATF

  • Anti-Money Laundering and Anti-Terrorism Financing (AML-ATF) Module

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Privacy

  • Privacy (PVC) Module

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Human Resources

  • HR - Canadian Labour Code (CLC) 

  • Accessibility for the Disabled (AODA)

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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 a module to assist you in making this determination, Survey of Laws Module

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Risk Modules

  • Regulatory Compliance Risk Management (RCRM) Module

  • Operational Risk Management (ORM) Module

  • Bank Enterprise-wide Risk Management (ERM) Module

  • Cyber Security (two separate modules)

  • CDIC requirements, supplements our Bank Act 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.

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Modules for Federally Licensed Insurance Companies

  • Insurance Companies Act (ICA) Module 

  • AMF Guidelines Module 

  • OSFI Guidelines

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AML/ATF

  • Anti-Money Laundering and Anti-Terrorism Financing (AML-ATF) Module

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Market Conduct and Insurance Products Regulation

  • Market Conduct Modules (Life or P&C)

  • Privacy Module for a Life or P&C Insurer

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Human Resources

  • Employment Standards Module 

  • Accessibility for the Disabled Act (AODA)

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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 a module to assist you in making this determination, 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) 

  • Life Enterprise-wide Risk Management (ERM)

  • 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.

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Securities Legislation Compliance Modules

  • The Portfolio Manager Module

  • Investment Fund Manager

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Registration Requirements Modules

  • Dealer Module

  • Portfolio Manager

  • Investment Fund Manager

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Independent Review Committee (IRC) Modules 

  • Manager Module

  • Committee

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MFDA Module

  • MFDA rules and some reference to related National Instruments

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AML/ATF

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

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Privacy Module

  •  Addressing responsibilities to protect personal information under the federal personal information protection and electronic documents act, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

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Human Resources

  • HR - Employment Standards Act Module 

  • Accessibility for the Disabled (AODA) Module

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Other Focus Areas

  • FACTA Module

  • CRS Module 

  • Canadas Anti-Spam Legislation (CASL) Module

Content: Dienstleistungen

Money Services Business

Ethidex modules built by our partner law firms to address key regulatory compliance areas of focus for MSBs – with requirements captured in consolidated Control Objectives with citations.

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AML/ATF

  • 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

  •  Addressing responsibilities to protect personal information under the federal personal information protection and electronic documents act, related acts of British Columbia, Alberta and Quebec, and Privacy Commissioner Case Findings

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Human Resources

  • HR - Employment Standards Act Module 

  • Accessibility for the Disabled (AODA) Module

Content: Dienstleistungen
Content: Team Members

©2022 Ethidex

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