CAPL Compliance provides informed ongoing compliance support, helping you achieve peace of mind in the ever-evolving regulatory environment. We begin by reviewing your firm’s compliance policies and procedures manual and understanding your firm’s unwritten control procedures and compliance practices against required regulatory obligations.
We assist with developing and implementing tailored compliance policy improvements and risk mitigations. Our compliance support includes the following elements, based on your business needs:
- Monitoring of applicable laws and regulations affecting the Canadian regulatory environment
- Assessing the impact of new rules, amendments and guidance affecting the investment industry and designing appropriate solutions for your firm
- Conducting a comprehensive review of your firm’s policies, procedures and practices for compliance with regulatory requirements
- Support for the Chief Compliance Officer (CCO)
- Up-to-date training for registered and non-registered staff in your policies, the requirements, and how your staff meets them
- Reviewing systems, policies and documents
- Advising on due diligence activities and proposed new business directions
- Reviewing marketing material and client communications
- Evaluating performance measurement, reporting and disclosures
- Reviewing money flows and trust money compliance and reporting requirements
Monthly Retainer subject to firm size and volume of transactions.
