Regulatory Modules for Insurers

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Custom regulatory content for Insurers

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 McMillan LLP.  International regulatory content can be managed and updated using the Ethidex background tables of our Compliance Office™ application.

 

Ethidex Modules Canadian/Foreign P&C Canadian/Foreign Life Fraternals
Insurance Companies Act      
ICA, Regulations, OSFI Guidelines
Customized for Life Companies, Branches and Fraternals
Quarterly legislative scan
Market Conduct      
Provincial & Territorial Requirements with Concordance
Quebec module
Quarterly legislative scan
Privacy      
Federal PIPEDA
Related provincial acts
Privacy Commissioner decisions
Human Resources      
Provincial and territorial Employment Standards Act  
Accessibility for the Disabled (Ontario and Manitoba)  
AML/ATF      
Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Regulations, Criminal Code, FINTRAC Guidelines
CASL      
Canada’s Anti-spam legislation Survey of Laws  
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    
Guidelines      
AMF Guidelines for Federal Companies operating in Quebec  
OSFI Guidelines for Insurers whose primary license is provincial  

 

Featured Resources

Ethidex for Life Insurers.pdf

Ethidex for P&C Insurers and Reinsurers.pdf

Enterprise-wide risk management

Assessment of material risk exposure and mitigation

Evidence of risk identification and appropriate mitigation for stakeholders and regulators

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

A key tool for the CRO in effective oversight of risk

Compliance Office - risk area by site

Regulatory compliance risk management

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

Evidence that the “three lines of defence” address and meet regulatory expectations

Well documented and auditable basis for the CCO’s report to the Board

Evidence for regulators that the Board understands and meets the requirements of Guideline E-13

Compliance Office dashboard

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

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McMillan is a leading Canadian business law firm committed to client service and professional excellence for over 100 years. With recognised expertise and acknowledged leadership in major business sectors, McMillan provides definitive Canadian legal advice to businesses, financial institutions, governments and private individuals in Canada, the United States and internationally. McMillan has offices in Vancouver, Calgary, Toronto, Ottawa, MontreĢal and Hong Kong.

"In an era when regulatory requirements and guidance are constantly evolving, it is imperative to utilize simple and effective tools to stay up-to-date. Our long-standing collaboration with Ethidex is one that we are proud of, as it exemplifies our firm’s commitment to the provision of valuable approaches for financial institutions."

- Darcy Ammerman, Partner, Banking, Insurance and Finance 

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