Compliance Toolkit

The compliance toolkit provides registrants with easy access to frequently requested information about the rules and regulations that govern their day-to-day operations. This is an initiative of the Capital Markets Regulation division to ensure that our registrants have the necessary tools for compliance.   

Compliance Tools & Information

 

Adviser & Dealer Annual Reports


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Registrant Newsletters


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Anti-Money Laundering & Terrorism Reporting

Other Resources

Please note that these materials have not been reviewed for consistency with the rules and policies of the Investment Industry Regulatory Organization of Canada or the Mutual Fund Dealers Association. Please contact your governing self-regulatory organization if you have any questions about their rules and policies.

Contact the BCSC Examiners

You can email the examination team examiners@bcsc.bc.ca with your questions.