Industry reviews

From: Financial Consumer Agency of Canada

An industry review is a research initiative undertaken by the Supervision and Enforcement Branch to gather information from regulated entities (REs) on a specific market conduct matter. It is used to establish common practices in the industry for disclosure obligations and to provide recommendations or guidance to the industry about best practices.

The Supervision and Enforcement Branch normally conducts industry reviews when it has concerns about compliance risks in certain areas of the marketplace, or with specific financial products or services that could affect a large number of consumers.

During an industry review, the Supervision and Enforcement Branch will:

  • request the participation of REs (often a sample will be used) to participate in this review
  • review documents and/or procedures to examine whether they are compliant with market conduct obligations.

Choose an industry review for more details

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