Rules and Regulations

Financial Services

• Artificial Intelligence and Data Act (AIDA): Risk management for Canadian Federal Regulators
• ATIA: Access to Information Act for Canadian federal departments
• Bank Secrecy Act of 1970 (BSA)
• Consumer Credit Directive
• California Consumer Privacy Act (CCPA)
• California Consumer Privacy Act (CCPA) vs General Data Protection Regulation (GDPR)
• Competition Act of Canada: Antitrust compliance essentials
• Conflict of Interest Act (COIA): For Canadian public office holders
• Consumer Duty
• Corporate Sustainability Due Diligence Directive (CSDDD): Achieving compliance for large enterprises
• Corporate Sustainability Reporting Directive (CSRD): sustainability reporting standards for EU entities
• Customs Act: Valuation and tariff compliance for Canadian Border Officials
• Data Protection Act 2018
• Department of Justice’s ECCP
• Digital Operational Resilience Act (DORA)
• Digital Operational Resilience Act (DORA): Compliance challenges
• Dodd Frank Act
• Electronic Communications Privacy Act (ECPA)
• EU Artificial Intelligence Act
• EU Artificial Intelligence Act (EU AI ACT)
• EU’s Corporate Sustainability Reporting (CSRD)
• EU Cyber Resilience Act
• EU NIS2 Directive for Financial Entities
• EU Taxonomy Regulation
• European Markets Infrastructure Regulation (EMIR)
• FCA Client Assets Sourcebook Rules (CASS)
• FCA Collective Investment Schemes Sourcebook (COLL)
• FCA Consumer Credit Sourcebook (CONC)
• FCA Senior Management Arrangements, Systems and Controls Sourcebook (SYSC)
• Financial Data Transparency Act (FDTA)
• FINRA Rule 2010
• FINRA Rule 2090
• FINRA Rule 2111
• FINRA Rule 2210
• FINRA Rule 3110
• FINRA Rule 3120
• FINRA Rule 3130
• FINRA Rule 4370
• FINRA Rule 4511
• FINRA Rule 4530
• FINRA Rule 8210
• FRCP Rule 26
• FRCP Rule 34
• General Data Protection Act (GDPR)
• Good Manufacturing Practices compliance: Canada’s Food and Drugs Act
• IIROC Rule 3900: Trade supervision for Canadian businesses
• Investment Advisers Act
• Investment Company Act
• Lobbying Act: Reporting rules for Canadian Federal Lobbyists
• Market Abuse Regulation (MAR)
• Markets in Crypto-Assets (MiCA) Regulations for CASPs
• Markets in Financial Instruments Regulation (MiFIR) and Markets in Financial Instruments Directive (MiFID II): differences and similarities
• MiFID II
• Mortgage Acts and Practices (MAPS)
• Mortgages and Home Finance Conduct of Business (MCOB)
• NASD Rule 3010 (NASD)
• Non-Financial Misconduct in Financial Services
• Off-Channel Communications: What They Are and Why They Matter
• OSFI B-10: Third-Party risk management for Canadian financial entities
• OSFI B-13: Cyber risk management for Canadian Federally Regulated Financial Institutions
• OSFI E-21: Operational Risk for Canadian FRFIs
• PCMLTFA compliance for Canadian financial reporting entities
• PRA SS4/24 compliance guide: Requirements, risks and how to stay compliant
• Privacy Act: Personal information management for Canadian Entities
• Prudential Regulation Authority
• Regulation Best Interest (RegBI)
• SEC Marketing Rule
• SEC Rule 17a-3
• SEC Rule 17a-4
• SEC Rule 204-2
• Senior Managers and Certification Regime (SMCR)
• Stored Communications Act (SCA)
• SYSC 10A: FCA communication recording requirements

Healthcare and Life Sciences

• Department of Justice’s ECCP
• FDA 21 CFR Part 11
• GDPR compliance in healthcare and life sciences
• Sunshine Laws

Energy

• Department of Justice’s ECCP
• FERC Market Transparency for Compliance
• REMIT and REMIT II Regulation in the Energy Sector

Jennie Clarke VP of Marketing - EMEA

3 mins read • 16 February 2024