Compliance Reviews

Benefit from our Regulatory Expertise

CAPL Compliance reviews your firm’s compliance framework and provides our guidance and recommendations, with a focus on achieving operational efficiencies wherever possible.
Our recommendations are based on a comprehensive analysis of your firm’s operations, including your business model, client base and compliance risks.

We provide compliance reviews for Mortgage Brokerages, Mortgage Syndicators, Mortgage Investment Corporations and Mortgage Administrators to:

  • Prepare for a regulatory compliance review by provincial mortgage sector regulators, consumer protection regulators, securities commissions or an anti-money laundering regulator
  • Identify compliance gaps and recommend solutions
  • Report to the Owners and/or Board of Directors on the state of compliance at your company


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