Regulatory Compliance

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Proactive planning and effective response

In a post Sarbanes-Oxley world, regulatory compliance is a huge concern for many of Canada’s leading companies. Keeping track of all of the complex regulatory requirements facing your organization can be overwhelming, especially when you are also staying on top of your regular day-to-day operations. Responding effectively to an inquiry or investigation by a Canadian or US regulator is even more challenging.

If you answer ‘yes’ to any of the following statements, you could probably use our help:

  • You are being investigated for failing to comply with regulations
  • You don’t know whether your company is complying with complex regulatory requirements, especially with cross-border issues or with SOX
  • Your company’s compliance costs are escalating
  • You have significant adverse internal audit findings
  • You are concerned about the reputational risk associated with failing to comply with regulations

PwC can help

Our team consists of regulatory risk specialists, many of whom are ex-regulators with the Ontario Securities Commission (OSC). We know the rules, we know the process, and we know how to respond to an investigation. As an independent consultant, we provide support, advice and assurance to help you manage your regulatory risks.

We understand that to be effective, a compliance plan needs to operate at a strategic level – maximizing your competitive advantages and minimizing costs and disruptions to your business. When properly aligned with your company’s objectives and risk management strategies, your compliance plan can add real value to your organization while ensuring that it embraces both the spirit of compliance and the letter of the law.

If you are in need of a proactive solution: We conduct compliance and regulatory due diligence reviews to ensure that your company is in line with Canadian and US securities and financial services laws and regulations. We can help you to improve your back-office operations and internal controls, and to develop in-house compliance policies and procedures.

If you are under investigation or responding to a regulator’s inquiry: We help firms that are under investigation by US and Canadian regulators, including the OSC, the SEC and the US Department of Justice. We also advise special committees of boards of public companies who are under investigation by securities regulators, including matters related to insider trading and financial reporting.

Contact a professional in your area to discuss your unique business concerns.

If you are legal counsel, we can also help you learn more about managing shareholder goodwill.