Compliance Information
This section provides information about compliance bulletins, special initiatives and industry reviews.
Compliance Bulletins
Compliance Bulletins are information provided to federally regulated financial entities to describe how the Compliance and Enforcement Branch (CEB) views the broad requirements of legislation, regulations, codes of conduct or public commitments, and how it will drive Compliance and Enforcement branch to action with federally regulated financial entities on compliance matters. This is not an official interpretation of the Commissioner.
Special initiatives
Special initiatives include supervisory compliance actions where the CEB has been directed by the Commissioner to obtain information from the entities we regulate concerning their level of compliance with a regulatory requirement, code of conduct or public commitment.
Industry reviews
An industry review is an activity performed by the CEB to gather information from federally regulated financial entities on a specific compliance matter. CEB conducts these reviews when a compliance issue has been identified as being industry-wide.
compliance Processes
The Compliance and Enforcement Branch relies on specific processes to identify and evaluate which compliance action should be undertaken to address compliance issues.
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