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Regulatory Modules for Insurers
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
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
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
With the assistance of McMillan LLP, we update the modules quarterly to meet changing requirements.
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, MontreĢal 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