Compliance Toolkit

The compliance toolkit provides registrants with easy access to frequently requested information about the rules and regulations that govern their day-to-day operations. This is an initiative of the Capital Markets Regulation division to ensure that our registrants have the necessary tools for compliance.   

Compliance Tools & Information

 

Adviser & Dealer Annual Reports


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Registrant Newsletters


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Anti-Money Laundering & Terrorism Reporting

Other Resources

Please note that these materials have not been reviewed for consistency with the rules and policies of the Investment Industry Regulatory Organization of Canada or the Mutual Fund Dealers Association. Please contact your governing self-regulatory organization if you have any questions about their rules and policies.

Contact the BCSC Examiners

Adviser/IFM Team Dealer Team
Janice Leung
Manager
jleung@bcsc.bc.ca
(604) 899-6752
Mark French
Manager
mfrench@bcsc.bc.ca
(604) 899-6856
Edwin Leong
Senior Compliance Analyst
eleong@bcsc.bc.ca 
(604) 899-6682
Grace Yu
Senior Compliance Analyst
gyu@bcsc.bc.ca
(604) 899-6614
Jonathan Lee
Senior Compliance Analyst
jcslee@bcsc.bc.ca
(604) 899-6670
Shamira Esmail
Senior Compliance Analyst
sesmail@bcsc.bc.ca
(604) 899-6815
David Rajanayagam
Senior Compliance Analyst
drajanayagam@bcsc.bc.ca
(604) 899-6532
Stacey Reddick
Compliance Analyst
sreddick@bcsc.bc.ca
(604) 899-6734
Grace Chan
Compliance Analyst
gchan@bcsc.bc.ca
(604) 899-6697
Victor Lai
Compliance Analyst
vlai@bcsc.bc.ca
(604) 899-6691
Colleen Ng
Compliance Analyst
cng@bcsc.bc.ca
(604) 899-6651
Shirley Manikiam
Administrative Assistant
smanikiam@bcsc.bc.ca
(604) 899-6667
Lena Lew
Administrative Assistant
llew@bcsc.bc.ca
(604) 899-6650