Regulatory Modules for Banks and Trust & Loan
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
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 regulatory expectations
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
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
With the assistance of Fasken , we update the modules quarterly to meet changing requirements.
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