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EDSR | Distributor Annual Audit & Declaration of Compliance

Section 13 of the Regulation requires an annual audit of the distributor’s compliance with sections 4,5,6,7, and 8 be audited on annual basis. Section 14 of the Regulation requires that the distributor file a Declaration of Compliance with section 3,9,10,11, and 12 on an annual basis. Two guidelines, the Audit Guideline and the Declaration of Compliance Guideline have been produced to assist distributors

Auditor Presentations

Audit Debrief 2017

Audit Debrief 2016

Audit Debrief 2015

Audit Debrief 2014

Audit Debrief 2013

Archived Auditor Presentations (2005-2012)

 

Auditor Guidelines

Guideline for Audit v2.1

Guideline for Audit v2.1 Appendices 1-4

Guideline for Audit v2.1 Appendix 5

For a list of current Approved Auditors and Submission Dates for the Annual Audit and Declaration of Compliance, please see the Distributor Bulletins.

Guideline - Annual Compliance Declaration

Annual Compliance Declaration Form

Working Group Members - Audit and Compliance