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Compliance Checklist Database Profile

Please choose the appropriate business entity (entities).
All Persons & Affiliates
Federal Life Companies
Federal P&C Companies
Foreign Life Companies
Foreign P&C Companies
Fraternal Societies
Insurance Holding Companies
Life Agents
Provincial Life Companies
Insurance Representatives (for Quebec only)
Securities Representatives (for Quebec only)
Securities Firms (for Quebec only)
Distributors (for Quebec only)
Financial Planners (for Quebec only)
Firms (for Quebec only)
Independent Partnership (for Quebec only)

Insurance Companies Act (Canada)
Autorité des Marchés Financiers (AMF) Harmonized Complaint Data Reporting
Alberta Financial Consumers Act
Alberta Insurance Act
Alberta Treasury: Replacement of Life Insurance Contracts Rules
Alberta Unclaimed Personal Property and Vested Property Act
British Columbia Financial Institutions Act
British Columbia Insurance Act
British Columbia Partnership Act
British Columbia - Marketing of Financial Products Regulation (573/2004)
British Columbia - Insurance Contracts (Life Insurance Replacement) Regulation (327/90)
British Columbia Unclaimed Property Act
British Columbia Unclaimed Property Regulation (463/99)
CLHIA Guideline G1 Product Disclosure
CLHIA Guideline G2 Individual Variable Insurance Contracts Relating To Segregated Funds
CLHIA Guideline G3 Group Life and Group Health Insurance
CLHIA Guideline G4 Coordination of Benefits
CLHIA Guideline G5 Travel Insurance
CLHIA Guideline G6 Illustrations
CLHIA Guideline G7 Creditor's Group Insurance
CLHIA Guideline G8 Screening Agents For Suitability and Reporting Unsuitable Agents
CLHIA Guideline G9 Direct Marketing
CLHIA Guideline G10 Policyowner Statements and Notices
CLHIA Guideline G11 10-Day Insurance Contract Rescission Right
CLHIA Guideline G12 Capital Accumulation Plans
CLHIA Guideline G13 Compensation Structures: Managing Conflicts of Interest
CLHIA Guideline G14 Confirming Advisor Disclosure
Civil Code of Quebec
Complaint Information (Canadian Insurance Companies) Regulations
Complaint Information (Foreign Insurance Companies) Regulations
Criminal Code of Canada
CRTC Unsoliticed Telecommunications Rules
Financial Consumer Agency of Canada (FCAC) Compliance Framework (April 2008)
Financial Services Commission of Ontario (FSCO) Bulletin No.G-02/03
Financial Services Commission of Ontario (FSCO) Company Compliant Collection and Reporting Requirements
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Guideline 4: Implementation of a Compliance Regime
FINTRAC Guideline 2: Suspicious Transactions
Guidelines - Collection of Insurance Company Consumer Complaint Data - Office of the Insurance Ombudsman (November 2000)
Insurance Adjusters / Agents and Brokers Regulations - Consolidated Newfoundland Regulation
Insurance Council of British Columbia: Handbook
Insurance Council of Manitoba: Code of Conduct
Life Insurance Councils of Saskatchewan: Life Insurance Council Bylaws
Manitoba Insurance Act
New Brunswick Insurance Act
Newfoundland Insurance Adjusters / Agents and Brokers Act
Newfoundland Insurance Companies Act
Northwest Territories Insurance Act
Nova Scotia Insurance Act
Nunavut Insurance Act
Ontario Insurance Act
Ontario Regulation 347/04 - Agents
Ontario Regulation 7/00 - Unfair or Deceptive Acts or Practices
Ontario Regulation 674 - Replacement of Life Insurance Contracts
Ontario Regulation 132/97 - Variable Insurance Contracts
OSFI Guideline on Legislative Compliance Management (LCM) No. E-13 (March 2003)
OSFI Guideline A Minimum Continuing Capital and Surplus Requirements
OSFI Guideline A-2 Capital Regime for Regulated Insurance Holding Companies and Non-Operating Life Companies
OSFI Guideline B-1 Prudent Person Approach
OSFI Guideline B-2 Large Exposure Limits
OSFI Guideline B-3 Unregistered Reinsurance
OSFI Guideline B-4 Securities Lending
OSFI Guideline B-5 Asset Securitization
OSFI Guideline B-7 Derivative Best Practices
OSFI Guideline B-8 Deterring and Detecting Money Laundering
OSFI Guideline B-10 Outsourcing of Business Activities / Functions and Processes
OSFI Guideline B-11 Pledging
OSFI Guideline B-13 DRAFT - Reinsurance Agreements
OSFI Guideline C-1 Impaired Loans
OSFI Guideline D-1A Annual Disclosures
OSFI Guideline D-3 Accounting for NHA-insured MBS
OSFI Guideline D-4 Transfers of Financial Assets with Recourse
OSFI Guideline D-6 Derivatives Disclosure
OSFI Guideline D-8 Accounting for Transfers of Receivables Including Securitizations
OSFI Guideline D-9 Source of Earnings Disclosure (Life Insurance Companies)
OSFI Guideline D-10 Accounting for Financial Instruments Designated as Fair Value Option
OSFI Guideline E-2 Commercial Lending Criteria
OSFI Guideline E-2A - Commercial Lending Restrictions - Foreign Life & Foreign Fraternals
OSFI Guideline E-4 Role of Canadian Chief Agent & Record Keeping Requirements
OSFI Guideline E-5 Retention/Destruction of Records
OSFI Guideline E-10 Use of Depositories by Insurance Companies
OSFI Guideline E-12 Inter-segment Notes for Life Insurance Companies
OSFI Guideline E-14 Role of the Independent Actuary
OSFI Guideline E-15 Appointed Actuary: Legal Requirements, Qualifications and External Review
OSFI Guideline E-17 Background Checks on Directors and Senior Management of FRE's
OSFI Guideline E-18 Stress Testing
OSFI Guideline F-1 Standards of Sound Business and Financial Practices: Introduction
OSFI Guideline F-2 Capital Management
OSFI Guideline F-3 Credit Risk Management
OSFI Guideline F-4 Foreign Exchange Risk Management
OSFI Guideline F-5 Security Portfolio Management
OSFI Guideline F-6 Real Estate Appraisals
OSFI Guideline F-7 Product Design and Pricing Management
OSFI Guideline F-8 Underwriting and Liability Management
OSFI Guideline F-9 Interest Rate Risk Management
OSFI Guideline F-10 Liquidity Management
OSFI Guideline F-11 Internal Control
OSFI Guideline on Corporate Governance
OSFI's Review of Reputation Risk Practices: Principles, Observations and Next Steps
Personal Information Protection Act (Alberta)
Personal Information Protection Act (British Columbia)
Personal Information Protection and Electronic Documents Act (PIPEDA)
Press Release No. 3 (Feb. 2004) Guidelines for the examination of complaints introduced by the Act respecting the Agence nationale d'encadrement du secteur financier
Prince Edward Island Insurance Act
Principles For The Sale of Insurance: A Consumer Protection Document
Proceeds of Crime (Money Laundering) and Terrorist Financing Act
The Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations
The Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations
Proposed Code of Ethics for Life Insurance Agents in Ontario: Part I
Proposed Code of Ethics for Life Insurance Agents in Ontario: Part II
Quebec Act Respecting Insurance
Quebec Act Respecting the Distribution of Financial Products and Services
Quebec: An Act Respecting the Protection of Personal Information in the Private Sector
Quebec Public Curator Act
Quebec Regulation Respecting the Issuance and Renewal of Representatives' Certificates (No. 1)
Quebec Regulation Respecting the Pursuit of Activities as a Representative (No. 2)
Quebec Regulation Respecting the Registration of Firms / Representatives and Independent Partnerships (No. 7)
Quebec Regulation Respecting Firm / Independent Representative and Independent Partnership (No. 9)
Quebec Regulation Respecting the Keeping and Preservation of Books and Registers (No. 10)
Quebec Regulation Respecting the Application Of The Act Respecting Insurance
Quebec Regulation Respecting the Application of the Public Curator Act
Saskatchewan Insurance Act
Schedule 1 - PIPEDA Model Code
United Nations Suppression of Terrorism Regulations (United Nations Act)
Yukon Insurance Act

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