Regulatory Modules for Investment Managers

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Custom regulatory content for Investment Managers

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

 

Ethidex Modules Investment Fund Managers Portfolio Managers Investment
Fund Dealers
Mutual
Fund Dealers
Registration requirements        
Compliance with NI 31-103
AML/ATF        
Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Regulations, Criminal Code, FINTRAC Guidelines
MFDA        
Mutual Fund Dealers Association Rules
Human Resources        
Provincial and territorial Employment Standards Act
Accessibility for the Disabled (Ontario and Manitoba)
Privacy        
Federal PIPEDA
Related provincial acts
Privacy Commissioner decisions
CASL        
Canada’s Anti-spam legislation
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 Fund Managers.pdf

Ethidex for Investment Dealers.pdf

Ethidex for Portfolio Managers.pdf

Implementing internal compliance controls

"A registered firm must establish, maintain and apply policies and procedures that establish a system of controls and supervision sufficient to:

  • provide reasonable assurance that the firm and each individual acting on its behalf complies with securities legislation, and
  • manage the risks associated with its business in accordance with prudent business practices"

- NI 31-103, Part II, s. 11.1

Entities can’t assume the absence of problems means that controls and oversight are strong. Ethidex allows you to manage your company’s controls, procedures and policies to ensure and demonstrate effective risk management and compliance to the board and other stakeholders.

implementing internal compliance controls

With the assistance of Borden Ladner Gervais , we update the modules quarterly to meet changing requirements.

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Borden Ladner Gervais LLP (BLG) is a leading, national, full-service Canadian law firm focusing on business law, commercial litigation and arbitration, and intellectual property solutions. BLG is one of the country’s largest law firms with more than 725 lawyers, intellectual property agents and other professionals in five cities across Canada assisting clients with their legal needs, from major litigation to financing to trademark and patent registration. The firm’s Investment Management Group is one of the largest practices of its kind in Canada. The group is widely recognised as an industry leader for its innovative practice solutions. Clients include fund managers, hedge fund managers, advisers and dealers that are domestic and international.
 

"We are proud of our longstanding relationship with Ethidex™ and mutual commitment to providing practical and effective compliance tools to fund managers and other securities registrants that can be used in their day-to-day business."

- John Hall, Partner and National Leader, Investment Management Group

Are you compliance confident? Let's talk.

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