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Jump To… Aller à…- ABOUT THE TOOLBOX
- RISK-BASED COMPLIANCE
- CLHIA STANDARDIZED MGA COMPLIANCE REVIEW SURVEY
- Section 1 - General Information about the MGA
- Section 2 - Screening Advisors for Suitability
- Section 3 - Ongoing Monitoring of Advisors for Suitability
- Section 4 - Reporting and Investigating Concerns about Advisors
- Section 5 - Managing Conflicts of Interest
- Section 6 - Privacy
- Section 7 - Anti-Money Laundering and Anti-Terrorist Financing (AML-ATF)
- Compliance Officer
- Risk Assessment
- Self-Assessment
- Training
- Section 8 - Doing Business in Quebec
- Section 9 - Internal Audit/Independent Reviews of Compliance Program
- Section 10 - Selected Company Specific Questions
- Compliance Topics Not Covered by the MGA Survey
