Regulatory Compliance Management

OSFI is issuing for comment a draft revised Guideline E-13 (re-named Regulatory Compliance Management) to reflect current industry best practices. The draft Guideline is intended to revise and replace the 2003 Guideline E-13 - Legislative Compliance Management (LCM) to better align it with recently updated OSFI Guidelines and to complement OSFI’s Supervisory Framework and Assessment Criteria

Interested parties are invited to provide comments on the Guideline by June 20, 2014.  All comments, which may be provided directly to OSFI or through industry associations, should be sent by e-mail to Joan Bentley, Director, Anti-Money Laundering and Compliance Division (