canadian compliance starter kit

Short tagline

Get audit-ready without the scramble. An Excel workbook and PDF guide for small Canadian financial institutions.

Description

Stop hunting through inboxes and spreadsheets when an auditor or regulator asks for proof. The Canadian Compliance Starter Kit gives small credit unions, fintechs, and advisory firms one organized place to track evidence, risks, and recurring obligations.

What's inside

• Evidence Tracker: 22 starter items across PIPEDA, PCMLTFA, OSFI, FCAC, and CIRO, with owners, status, review cycles, and automatic flags for Current, Due soon, Overdue, and Missing.
• Risk Register: 8 starter risks scored for likelihood and impact, with automatic High, Medium, and Low ratings.
• Compliance Calendar: 10 recurring obligations whose next due dates calculate from how often they repeat.
• Dashboard: Audit readiness, risks, and upcoming deadlines, updated automatically.
• PDF Quick-Start Guide: Setup steps, a printable evidence checklist, and a 30-day audit-prep plan.

Good to know

• Works in Excel. Dropdowns, colour flags, and formulas are built in, and you only fill in the yellow cells.
• The starter lists are common examples, not a complete list of what applies to you. Confirm your obligations with your regulator or advisor.
• This kit supports evidence management. It is not legal advice and does not guarantee compliance.