E-13 Regulatory Compliance Management got you down? We will pick you back up.

Create efficiency and confidence in your E-13 program by replacing your ineffective spreadsheets with Resolver’s industry leading RCM software and content solution.

Request a Demo
scroll down

Why Regulatory Compliance Management by Resolver?

OSFI E-13 Content

Our industry leading content is specific to Canadian financial institutions.

Save Time

Automate processes & reminder notifications to stop wasting time managing your compliance program manually.

Reduce Complexity

Version and change control is simple. Easily organize, manage and track all your compliance requirements and updates in one central, connected location.

Gain Efficiencies

Map the relationship between controls, issues and action plans to compliance requirements for clear, real-time tracking of your compliance program.

Real Time Compliance

Ensuring that the compliance team and business managers are kept up to date on the constantly evolving regulatory requirements and expectations is one of the key challenges for a post-crisis compliance program.

Our solution provides real time updates on all legislative and regulatory updates, assuring we have the most up-to-date content at all times. Focus on your business needs and let us do the work for you.

Track Issues and Ensure Accountability

An effective regulatory compliance framework is expected to monitor compliance across the entire enterprise, tracking compliance gaps and remediation efforts, and providing verifiable reports to senior management and the board.

Our platform allows compliance teams to define who is accountable,determine what types of issues are tracked, assign follow up, review issue reports, implement resolution strategies, and much more. Our powerful workflow tool and comprehensive dashboards make it easy to track issues and ensure accountability so you can be confident that your business is running smoothly.

Avoid Costly Remediation, Penalties and Reputational Risk

Rising regulatory scrutiny on compliance risk management is increasing the frequency of costly remediation, reputational damage and financial penalties.

Our regulatory compliance platform is designed to meet and exceed the expectations of Canadian financial institutions and consistently receives high marks from both regulators and internal auditors.

Exclusive Comprehensive Content

The starting point for a compliance risk management framework is a comprehensive library of applicable requirements organized to facilitate a successful collaboration between the compliance function and business management. Resolver has partnered with Canadian Compliance Group (CCG), founded by John Jason, former Chief Compliance Officer of one of Canada’s and North America’s largest banks, to gain exclusive access to comprehensive content libraries specifically designed and built to support a postcrisis Regulatory Compliance Management Framework.

Our platform, fully supported with regulatory content, is currently available for the following financial services sectors:

Bank Framework

  • Bank Act
  • Federal Bank Branch
  • AML
  • Privacy

Trust and Loan Framework

  • Trust and Loan Companies Act
  • AML
  • Privacy

Credit Union

  • BC Credit Union
  • Ontario Credit Union
  • Federal Credit Union
  • AML
  • Privacy

Insurance

  • Insurance Companies Act
  • AML
  • Federal Privacy
  • Provincial Privacy (Quebec, BC, Alberta)
  • Provincial Insurance Legislation Market Conduct
  • Lobbying

Securities

  • Mutual Fund Dealers Association (MFDA)
  • Exempt Market Dealer
  • IIROC Rules
  • Investment Fund Manager
  • Portfolio Manager
  • Universal Market Integrity Rules
  • AML for Securities Dealers

Additional Frameworks

  • Foreign Account Tax Compliance Act (FATCA)
  • Common Reporting Standards (CRS)
  • Accessibility for Ontarians with Disabilities (AODA)
  • Canada Labour Code
  • Canadian Anti-Spam Legislation (CASL)
  • National Do Not Call
  • Provincial Employment Standards
  • Cyber Security Self-Assessment Framework
  • Competition Act

 

The world’s top companies trust Resolver

OFSI E-13 Regulatory Compliance Management is more complex than ever largely due to the velocity and volume of regulatory change. Companies are struggling to both stay current with rapidly changing regulations and to fulfill expanding legal obligations with limited internal resources. That’s why the world’s top companies turn to Resolver to get ahead and stay ahead.

Frequently Asked Questions

We're here to answer any questions you might have.

How can I be OSFI (The Office of the Superintendent of Financial Institutions) compliant?

Resolver’s Regulatory Compliance Management software can take care of that. We will help you stay current with the rapidly changing regulations and fulfill legal obligations that are difficult to achieve with limited internal resources.

Do you also cover OSFI guidelines, regulations, advisories, and legal requirements for a variety of industries?

We sure do. Our regulatory compliance platform is currently available for:

  • Banks
  • Trust & Loan Companies
  • Credit Unions
  • Insurance Companies

Do you also have E-21 (operational risk management)?

Yes, we have an application that allows users to track and maintain their operational risk management program. House all your information in a single tool.

Does your RCM software have incident tracking capabilities?

Yep! Our compliance tool allows users to track issues against their regulatory requirements. You can also take advantage of our incident management application in order to track incidents which occur throughout the organization.

How frequently is your content updated?

We use commercially reasonable effort to ensure our content is up to date at all times.

How long is the implementation process?

Our RCM app takes approximately 2 months for full implementation.

Celia Cuthbertson, Senior Vice President, Operations and Legal, HomeEquity Bank
Celia Cuthbertson Senior Vice President, Operations and Legal, HomeEquity Bank
Pam Huggler, Compliance Manager, Street Capital Financial Corporation
Pam Huggler Compliance Manager, Street Capital Financial Corporation
Adam Harting, Manager, Global Security Services Data Sciences, Raytheon Corporation
Adam Harting Manager, Global Security Services Data Sciences, Raytheon Corporation

Request a Live Demo

Fill out the form below and we will contact you shortly to schedule a demo

Download Additional Information