Regulatory Compliance Management Software

Let's face it... spreadsheets just don't cut it when it comes to efficient compliance. Resolver’s Regulatory Compliance Management (RCM) software translates Canadian regulatory requirements into plain language and uses powerful automation to streamline your entire E-13 program.

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Compliance is complex. Resolver makes it simple.

Keep up with regulatory changes

Resolver’s RCM software provides real-time updates on all legislative and regulatory changes that apply to your organization and industry, so you have the most up-to-date content, always.

Bring awareness to stakeholders

Ensure the first line of defense can easily execute risk assessments, manage risks, and remediate regulatory gaps with an intuitive platform that automates the collection of compliance information.

Produce demonstrable support for the CCO opinion

Gain confidence in your ability to deliver an opinion on the adequacy of compliance controls with real-time reports, heat maps and dashboards, all exportable at the click of a button.

Connect risk functions across the organization

Leverage the power of workflow, with automated notifications, reminders and task alerts across compliance, risk, and audit to ensure efficient collaboration and information sharing across the three lines of defense.

Be proactive, not reactive

Easily identify gaps and prioritize efforts. With dashboards that paint a complete picture of your compliance program, you can build your annual compliance plan to ensure you have the appropriate resources in place for success. 

Match your compliance program to your organization’s maturity

There is no “one size fits all” compliance tool, which is why Resolver’s Compliance software can be configured to meet the needs, size, and maturity of your organization.

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. Resolver has partnered with the Canadian Compliance Group, to provide up-to-date regulatory content for Canadian financial institutions. Each framework has been curated with a financial institution’s various lines of business in mind. The content has been distilled down and translated into plain language to ensure maximum value for end users.

Maintain independent oversight

Resolver’s Regulatory Compliance Management program is built to support an OSFI E-13 compliance program. The program incorporates the three lines of defense and ensures all parties have instant visibility into tasks and action items. The first line can take ownership of the risks and requirements in the organization. The compliance team maintains a level of independence by monitoring the organization’s risk tolerance, uncovering gaps and documenting processes and controls that mitigate risk. The information can easily be extracted or shared with regulators and auditors. 

Confidently deliver an opinion to the board or regulators

Resolver’s Regulatory Compliance Management application allows the Chief Compliance Officer to demonstrate due diligence by embedding a risk-based framework for compliance monitoring and testing. Information is easily rolled up into real-time reports and dashboards so the compliance team can demonstrate the effectiveness of their program to the board or regulators. Prioritize your compliance testingReduce redundancies and the duplication of effort with an integrated platform that gives your compliance team instant visibility into controls and risks that have been recently tested. Resolver allows you to build your annual testing plan with ease and share your testing rationale with regulators or management. 

Available Content

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

Financial Services Sector

  • Bank Framework
  • Trust and Loan Framework
  • Credit Union Framework (Federal and Provincial)
  • Insurance Framework
  • Securities Framework

Additional Frameworks

  • Anti-Money Laundering
  • Privacy (Federal and Provincial)
  • 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 Standard
  • Cyber Security Self-Assessment Framework
  • Competition Act
  • Lobbyist Framework

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

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