Guidance library

As the regulator for federally regulated financial institutions and private pension plans, we set expectations for operating within the Canadian financial industry.

For guidance on private pension plans, please see Administering pension plans.

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Date	Title	Sector	Publication type	Category
February 29, 2008	Background Checks on Directors and Senior Management of FREs – Guideline (2008)	Banks Foreign Bank Branches Life Insurance and Fraternal Companies Property and Casualty Companies Trust and Loan Companies	Guideline	Sound Business and Financial Practices
February 26, 2008	Guide to Intervention for Federally Regulated Deposit-Taking Institutions (Letter)		Letter
February 11, 2008	Background Checks on Directors and Senior Management of FREs - Letter (2008)	Banks Foreign Bank Branches Trust and Loan Companies Life Insurance and Fraternal Companies Property and Casualty Companies	Letter	Sound Business and Financial Practices
September 30, 2007	Insurance in Canada of Risks	Life Insurance and Fraternal Companies	Advisory	Regulatory and legislative
May 31, 2006	Oversight Expectations for TSA & AMA Institutions	Banks Trust and Loan Companies	Implementation note	Capital Adequacy Requirements
May 31, 2006	Data Maintenance at TSA & AMA Institutions	Banks Trust and Loan Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Data Maintenance at IRB Institutions	Bank Holding Companies Banks Trust and Loan Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Collateral Management Principles for IRB Institutions	Banks Trust and Loan Companies Bank Holding Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Oversight Expectations for IRB Institutions	Banks Trust and Loan Companies Bank Holding Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	The Use of Ratings and Estimates of Default and Loss at IRB Institutions	Banks Trust and Loan Companies Bank Holding Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Risk Quantification at IRB Institutions	Banks Trust and Loan Companies Bank Holding Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Validating Risk Rating Systems at IRB Institutions	Banks Trust and Loan Companies Bank Holding Companies	Implementation note	Capital Adequacy Requirements
January 31, 2006	Foreign DTI Subsidiary IRB Self-Assessment Instructions	Banks Trust and Loan Companies	Instructions	Capital Adequacy Requirements
January 31, 2006	AIRB Self-Assessment Instructions	Banks Trust and Loan Companies	Instructions	Capital Adequacy Requirements
June 30, 2005	OSFI’s Review of Reputation Risk Practices - Principles, Observations and Next Steps – Discussion paper (2005)	Bank Holding Companies Banks Foreign Bank Branches Life Insurance and Fraternal Companies Property and Casualty Companies Trust and Loan Companies	Discussion paper
June 7, 2005	OSFI’s Review of Reputation Risk Practices - Principles, Observations and Next Steps – Letter (2005)	Banks Foreign Bank Branches Trust and Loan Companies Life Insurance and Fraternal Companies Property and Casualty Companies	Letter
January 31, 2005	Securitization – Large Exposure Issues Pertaining to Liquidity Support Facilities	Banks Trust and Loan Companies Life Insurance and Fraternal Companies Foreign Bank Branches	Advisory	Prudential Limits and Restrictions
August 31, 2003	Large Exposure Limits - 2003	Life Insurance and Fraternal Companies	Guideline	Prudential Limits and Restrictions
May 31, 2003	Pledging	Banks Life Insurance and Fraternal Companies Property and Casualty Companies Trust and Loan Companies	Guideline	Prudential Limits and Restrictions
May 30, 2003	Guideline B-11 on Pledging	Banks Trust and Loan Companies Life Insurance and Fraternal Companies Property and Casualty Companies	Letter	Prudential Limits and Restrictions
April 30, 2003	Capital Structure – Declaration and payment of dividends	Bank Act Trust and Loan Companies Act Insurance Companies Act Cooperative Credit Associations Act	Advisory	Regulatory and legislative
February 28, 2003	Business and Powers - Commercial lending limit	Trust and Loan Companies Act Insurance Companies Act Cooperative Credit Associations Act	Advisory	Regulatory and legislative
November 30, 2002	Business and Powers – Information respecting a customer	Bank Act Trust and Loan Companies Act	Advisory	Regulatory and legislative
March 31, 2002	Use of Internal Models for Determining Required Capital for Segregated Fund Risks (LICAT)	Life Insurance and Fraternal Companies	Advisory	Capital Adequacy Requirements
October 31, 2001	Materiality Criteria for Related Party Transactions – Guidance note (2001)	Life Insurance and Fraternal Companies	Guidance note
October 25, 2001	Materiality Criteria for Related Party Transactions – Letter (2001)	Life Insurance and Fraternal Companies	Letter
April 30, 2001	Value-at-Risk (VaR) Models Validation and Approval of Model Modifications Capital Adequacy Requirements, Guideline A, Part II	Banks	Guidance note	Capital Adequacy Requirements
March 31, 2001	Large Exposure Limits	Banks Foreign Bank Branches Trust and Loan Companies	Guidance note	Prudential Limits and Restrictions
January 31, 2000	Asset Securitization by Foreign Bank Branches	Foreign Bank Branches	Guideline	Prudential Limits and Restrictions
June 30, 1999	Financial Statements Requirements – Canadian Mutual Company Demutualizations	Life Insurance and Fraternal Companies	Guidance note
May 31, 1999	Expert Opinions and Report - Canadian Company Demutualizations	Life Insurance and Fraternal Companies	Guidance note
May 31, 1999	Materiality Criteria for Related Party Transactions - Bulletin (1999)	Banks Trust and Loan Companies	Bulletin	Prudential Limits and Restrictions
February 28, 1997	Securities Lending – Life insurance companies - Guideline (1997)	Life Insurance and Fraternal Companies	Guideline	Prudential Limits and Restrictions
December 31, 1996	Use of Depositories by Insurance Companies	Life Insurance and Fraternal Companies Property and Casualty Companies	Bulletin	Sound Business and Financial Practices
September 30, 1996	Securities Lending Deposit-taking institutions - Guideline (1996)	Banks Foreign Bank Branches Trust and Loan Companies	Guideline	Prudential Limits and Restrictions
September 30, 1996	Securities Lending - Property and Casualty Insurance Companies - Guideline (1996)	Property and Casualty Companies	Guideline	Prudential Limits and Restrictions
December 31, 1994	Large Exposure Limits - 1994	Banks Foreign Bank Branches Trust and Loan Companies	Guideline	Prudential Limits and Restrictions
March 31, 1994	Investment Concentration Limit for Property and Casualty Insurance Companies	Property and Casualty Companies	Guideline	Prudential Limits and Restrictions
December 31, 1993	Materiality Criteria for Related Party Transactions of Property and Casualty Insurance Companies - Bulletin (1993)	Property and Casualty Companies	Bulletin	Prudential Limits and Restrictions
October 31, 1993	Materiality Criteria for Related Party Transactions of Life Insurance Companies - Bulletin (1993)	Life Insurance and Fraternal Companies	Bulletin	Prudential Limits and Restrictions
September 30, 1993	Commercial Lending Restrictions - Foreign Life Insurance Companies and Foreign Fraternal Benefit Societies	Life Insurance and Fraternal Companies	Guideline	Prudential Limits and Restrictions
May 31, 1993	Retention/Destruction of Records	Life Insurance and Fraternal Companies	Bulletin	Sound Business and Financial Practices
January 31, 1993	Prudent Person Approach	Banks Life Insurance and Fraternal Companies Property and Casualty Companies Trust and Loan Companies	Guideline	Prudential Limits and Restrictions
June 30, 1992	Commercial Lending Criteria	Life Insurance and Fraternal Companies Trust and Loan Companies	Guideline	Prudential Limits and Restrictions
April 30, 1991	Classification of Loans Guaranteed by a Parent of the Bank	Banks	Guideline	Prudential Limits and Restrictions
	Backgrounder: Breaking down Basel III		Backgrounder
	Frequently asked questions – Basel III reforms		Frequently asked questions
	Pillar 3 Disclosure Requirements	Banks Trust and Loan Companies	Guideline	Accounting and Disclosure
	Commercial Real Estate risk management		Regulatory notice	Sound Business and Financial Practices

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