Regulatory Modules for Banks and Trust & Loan

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Custom regulatory content for Banks and Trust & Loan

An Ethidex module is a set of digital documents that organizes your regulatory requirements in a framework tailored to your business structure. Canadian requirements are presented as plain language control objectives backed up by specific citations and links to full-text sources. Modules for investment managers are updated quarterly to meet changing requirements with the assistance of Fasken Martineau LLP.  International regulatory content can be managed and updated using the Ethidex background tables of our Compliance Office™ application.

 

Ethidex Modules Canadian/ Foreign Banks Foreign Bank Branches Trust & Loan Companies
Bank Act      
Act, Regulations, OSFI Guidelines
Customized for Banks and Foreign Bank Branches  
FCAC      
Cost of Borrowing Regulation
Privacy      
Federal PIPEDA
Related provincial acts
Privacy Commissioner decisions
Human Resources      
Canada Labour Code (Banks)
Provincial and territorial Employment Standards Act (Trusts)
Accessibility for the Disabled (Ontario and Manitoba)
CASL      
Canada’s Anti-spam legislation
Trust & Loan Companies Act      
Act, Regulations, OSFI Guidelines
Augmentation for AMF Guidelines
AML/ATF      
Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Regulations, Criminal Code, FINTRAC Guidelines
Survey of Laws      
Compendium of laws with potential applicability to an FRFI
FATCA-IGA/CRS      
Canada/ US Inter-Governmental Agreement and International Common Reporting Standards

 

Featured Resources

Ethidex for Banks Trusts and Foreign Bank Branches.pdf

Regulatory compliance risk management

Assessment of effectiveness in satisfying OSFI’s Guideline E-13 requirements

Evidence that the “three lines of defence” and the board address and meet ‚Ä®regulatory expectations

Compliance Office Risk Framework

Operational compliance risk management

Assessment of effectiveness in satisfying OSFI’s Guideline E-21 and Quebec’s AMF in Operational Risk Management Guideline

Assessment of effectiveness in satisfying OSFI’s Guideline E-21 and, when applicable for Trusts, Quebec’s AMF in Operational Risk Management Guideline

Compliance Office Dashboard

Enterprise-wide risk management

Evidence for positions taken on exposures identified under OSFI’s Own Risk Self-Assessment (ORSA) Guideline

Key tool for the CRO in assessment of material risk exposure, mitigation and evidence

Compliance Office risk area by site

With the assistance of Fasken , we update the modules quarterly to meet changing requirements.

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Fasken Martineau is a leading international business law firm. The lawyers in our Financial Institutions Group help financial institutions achieve their strategic, corporate, regulatory and compliance objectives. We have extensive experience advising on domestic and cross-border mergers and acquisitions, joint ventures and demutualizations as well as distribution, reinsurance and outsourcing arrangements. We regularly advise clients on corporate governance and risk management matters and act for financial institutions and underwriters in funding and capital-related transactions. We also advise clients on the establishment of financial services businesses.

 

"We are proud of our alliance with Ethidex™ in offering the Ethidex™ Risk Manager Service – together we are bringing best-practice compliance solutions to Canadian financial institutions in a complex and dynamic regulatory landscape."

- Koker Christensen, Partner

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