Ongoing Compliance Support

CAPL Compliance provides informed ongoing compliance support, helping you achieve peace of mind in the ever-evolving regulatory environment. We begin by reviewing your firm’s compliance policies and procedures manual and understanding your firm’s unwritten control procedures and compliance practices against required regulatory obligations.

We assist with developing and implementing tailored compliance policy improvements and risk mitigations.

Our compliance support includes the following elements, based on your business needs:

Monitoring of applicable laws and regulations affecting the Canadian regulatory environment
Assessing the impact of new rules, amendments and guidance affecting the investment industry and designing appropriate solutions for your firm
Conducting a comprehensive review of your firm’s policies, procedures and practices for compliance with regulatory requirements
Support for the Chief Compliance Officer (CCO)
Up-to-date training for registered and non-registered staff in your policies, the requirements, and how your staff meets them
Reviewing systems, policies and documents
Advising on due diligence activities and proposed new business directions
Reviewing marketing material and client communications
Evaluating performance measurement, reporting and disclosures
Reviewing money flows and trust money compliance and reporting requirements

Monthly Retainer subject to firm size and volume of transactions.

Request this service

Services

Questions?

If you have questions about this or any other service contact us today.

join capl

Become a Member

CAPL Membership pays for itself

From free news access to full regulatory expert support, there’s a level for every professional in the industry.