ARCHIVED - Compliance Framework

Version not in effect

The Compliance Framework is archived.  The Supervision Framework came into effect on October 1, 2018.

The Financial Consumer Agency of Canada (FCAC) Compliance and Enforcement Branch (CEB) is responsible for supervising:

The Compliance Framework outlines the various ways FCAC oversees compliance pursuant to the FCAC Act. It is meant to provide users with a broad overview of the framework and allows users to navigate through additional levels of detail, as needed. By clicking on the boxes of the Flash version, additional explanation can be obtained and links to other resources are also made available.

A text version of the Compliance Framework is also available.

Compliance framework

Table of contents

Legal disclaimer:

This description of the FCAC Compliance Framework is not a legal document. It contains general information and is provided for convenience and guidance of FCAC’s stakeholders. It describes the general approach of the Agency to typical compliance matters. In particular circumstances and within relevant legislative provisions, the Agency may adjust its approach from what is described.

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