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(800) 263-4570

(416) 630-4022

3625 Dufferin St #340, North York, ON M3K 1Z2, Canada

©2019 BY QUALIFIED FINANCIAL SERVICES

COMPLIANCE

 

COMPLIANCE ACTS AND REGULATIONS

 

Canada’s Anti-Spam Legislation, Do Not Call and Other Telemarketing Rules

 

  1. Canada’s Anti-Spam Legislation (CASL)

  2. National Do Not Call List and Other Telemarketing Rules (DNCL) - English / Français

Privacy

 

  1. Personal Information Protection and Electronic Documents Act (PIPEDA) - English / Français

  2. Privacy Statement: Build a Privacy Plan for Your Business - English / Français

  3. Privacy Toolkit for Businesses - English / Français

 

Foreign Account Tax Compliance Act

  1. Foreign Account Tax Compliance Act (FATCA) – English / Français

  2. Information for Consumers and Advisors (FATCA) – English / Français

 

Financial Transactions and Reports Analysis Centre of  Canada

 

  1. FINTRAC Guidelines – English / Français

 

 

 

MARKET CONDUCT

 

  1. Qualified Financial Services Market Code of Conduct – English / Français

Errors and Omissions Insurance

 

  1. Corporate E&O Insurance – English

 

Policies and Procedures – Customizable Manuals

  1. Anti-Money Laundering & Anti-Terrorist Financing Policies and Procedures Manual – English / Français

  2. Compliance Policies and Procedures Guideline – English / Français

  3. Privacy Policies and Procedure Guideline

    1. Advisors/Incorporated Advisors – English / Français

    2. Quebec Firms – English / Français

    3. Freedom 55 Advisors (QC) - English / Français

Privacy and Disclosure – Customizable Templates

  1. Disclosure Statement Template – English / Français

  2. Multi-Advisor Disclosure Statement Template - English / Français

  3. Engagement Letter Template: Canada Life – English / Français

  4. Leverage Loan Disclosure

  5. Point of Sale Disclosure – Segregated Funds – English / Français

  6. Replacement Disclosure Guideline – English

  7. Replacement Disclosure Template – English

  8. Privacy Statement Template – English / Français

  9. Combined Advisor Disclosure & Privacy Statement Template - English / French

  10. Reason Why Letter: Insurance - Template / Sample

  11. Reason Why Letter: Investment - Template / Sample

  12. Privacy Breach Procedure - English

  13. Privacy Breach Incident Report Form - English

  14. IVIC Suitability Reference Document - English

  15. Fair Treatment of Customers - English

Fact Finding and Needs Analysis

 

  1. “The Approach” – Needs Based Sales Practices English

  2. Fact Finding and Needs Analysis – English / Français

  3. Know Your Client (KYC) – English / Français

  4. Needs Analysis Calculator

 

 

 

RECENT COMPLIANCE TRAINING SESSIONS

  1. 2019 Canada Life Compliance Presentation: Opening a Compliant Practice

  2. 2019 Canada Life Compliance Update

  3. AML/ATF Overview

  4. Ready and Confident – Taking Charge of Your FINTRAC Audit

 

 

COMPLIANCE LINKS

Provincial Regulators

 

  1. Central: Ontario / Québec

  2. Pacific: British Columbia

  3. Prairie: Alberta / Saskatchewan / Manitoba

  4. Atlantic: New Brunswick / Newfoundland and Labrador / Nova Scotia / Prince Edward Island

 

Other Resources

  1. Advisor Learning Centre

  2. Canadian Council of Insurance Regulators (CCIR) – English / Français

  3. Canadian Life and Health Insurance Association Inc. (CLHIA) – English / Français

  4. Officer of the Privacy Commissioner of Canada – English / Français

  5. New AML / ATF Video Link - Video

  6. Reason Why Letter Video Link - Video

  7. Appendix to AML - English