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Ethidex Inc.

The Victory Building,
Suite 1205
80 Richmond St. West
Toronto, ON M5H 2A4
416.865.2030
Map  ·  Underground PATH


Business Enquiries & Marketing

Roksana Cieplowska
New Business Development
416.865.2030 Ext: 117 | Email

Client Services - support@ethidex.com


For support in English:
Tom Nunziato
Client Support Specialist
416.865.2030 Ext: 121 | Email

Pour le service en français:
Chantal Heynemand
Client System Support Administrator
416.865.2030 Ext 123 | Email

Technical Support


Sue Indrigo
Director of Technology
416.865.2030 Ext: 120 | Email

Paul Paquette
President
Ext: 115 | Email


Questions? Contact us

Overview

The level of regulation administered by CSA for NI 31-103 will increase significantly over the period April 1, 2013 to March 31, 2016.  Specific emphasis on Enhanced Disclosure to Investors, tighter Standards of Conduct for Registrants and an increase in Enforcement Effectiveness will require registrant firms to have higher levels of compliance governance and a mandatory compliance system comprised of a strong internal controls framework in order to meet these stricter standards.

Our modules provide a greater degree of control at the enterprise level with a focus on providing a centralised compliance system based on an internal controls objectives business process methodology.

Securities Legislative Content

The Ethidex Exempt Market Dealer module provides detailed guidance on what process a firm needs to have in place to order to be compliant. The list of business processes covered are:

  • Accounts
  • Business Conduct
  • Operations
  • Individual Registration
  • Firm Registration
  • Internal Controls and Systems
  • Client Relationships

 

Our Partnering Law Firm

Our service for Investment Managers is provided with the assistance of

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