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Integrity and Security – Frequently Asked Questions
… E-17 on background checks, E-13 on regulatory compliance management, and our Corporate Governance guideline) Meet … security of branch records is critical. As well, branch management should undergo the necessary background checks. 7. …
Property and Casualty Large Insurance Exposures and Investment Concentration
… in regards to operational, business, risk and crisis management policies. II. Large Insurance Exposures Gross … to a Single Insurance Exposure; and Be reviewed by Senior Management of the P&C FRI, at a minimum, annually. Using … P&C FRIs should have policies with respect to the management of investment concentration, which include …
Substantial Investments - Appendix A.6
… investment diversification and professional investment management to the holders of their securities. In addition, … investment counselling services; providing portfolio management services; networking financial services; or acting … to whom the association may provide financial services; management, advisory, educational and certain other services …
Pooled Registered Pension Plan Annual Information Return, Auditor’s Report and the Pension Plan Annual Corporate Certification
… 025 – Total fees/expenses paid from plan (not included in Management Expense Ratio (MER)) Enter the total fees/expenses … 100%, in each of the following asset classes: Line 048: Cash and Equivalents Line 049: Canadian Bonds Line 050: … 100%, in each of the following asset classes: Line 061: Cash and Equivalents Line 062: Canadian Bonds Line 063: …
Change Control Log (M4)
… 1997 Add: Liabilities side: Memo item #3, "Electronic Cash Cards" 2 November 1998 Add: Asset side: Memo item #3, … (AUC), Assets under Administration (AUA) and Assets under Management (AUM) (3) Mortgages and loans payable (5) Deposits … other items in transit 16 January 2013 Delete: (c) Total Cash and Cash Equivalents and related instructions (c) Total …
Large Exposure Limits for Domestic Systemically Important Banks – Guideline (2019)
… in regards to operational, business, risk and crisis management policies. II. Scope of Application This guideline … systems and processes will help to facilitate the active management of large exposures. Institutions should have … with other shareholders); if through ownership or common management, one counterparty controls, or is controlled by, …
Internal Model Oversight Framework - Guideline impact analysis statement (2019)
… specific for P&C insurance companies regarding the management of risk associated with internal models used for …
Consequential amendments to Guidelines B-10 and B-13 related to foreign branches
… is publishing changes to Guideline B-10: Third-Party Risk Management and Guideline B-13: Technology and Cyber Risk Management. These changes clarify how those guidelines apply …
Capital Adequacy Requirements (CAR) - Guideline (2024)
… Implementation Notes for IRB Institutions Collateral Management Principles for IRB Institutions Oversight …
OSFI technology and cyber incident report – Detailed instructions
… assessment online services payment and settlement wealth management insurance underwriting claims settlement human … incident root cause descriptions are as follows: Capacity management Issues arising from systems being overwhelmed due … Internal and external notifications Senior management notification Select from the drop-down list …
OSFI maintains the Domestic Stability Buffer level at 2.50% - Letter (2022)
… In the context of increased uncertainty, OSFI expects that management and boards of directors exercise vigilance and heightened prudence in their capital management practices with a view to preserving capital. The …
Securities Lending
… Footnote 1 of the market value of the securities lent. Management is expected to ensure that the margin of … following assets, denominated in Canadian or U.S. dollars: cash; widely-traded debt instruments having a rating of … program; and reviewed regularly by appropriate senior management. The pension plan administrator should, at least …
Securitization – Large Exposure Issues Pertaining to Liquidity Support Facilities
… exposure to that single counterparty. For internal risk management and approval purposes, general market disruption …
Public consultation on guideline B-20: Residential Mortgage Underwriting
… restricting either the dollar value or count of the: Flow, or volume, of new mortgages underwritten; or, Stock of … restriction on high LTI lending, often referred to as a “flow limit” or “speed limit,” could support the policy …
2020-21 Departmental Results Report
… enhance their awareness of emerging risks and related risk management processes. Under this goal, in 2020-21 OSFI: … which are prepared on the appropriation (i.e., modified cash) basis of accounting, in accordance with the Guide to … OSFI is slightly under planned spending on the modified cash basis of accounting, total expenses in the financial …