This document sets out:

• the CRA’s objectives, policies, and approach to compliance monitoring;

• an overview of the CRA’s Compliance Framework;

• the roles and responsibilities of different Departments/Units in carrying out work to ensure compliance;

• the compliance governance model and the role of the Compliance Committee; and

• the resources and tools available to CRA staff when they carry out compliance work.

This Compliance Policy is for CRA internal use only.

The Compliance Framework consists of:

• this Compliance Policy;

• the compliance processes and procedures;

• the List of Regulatory Instruments (LRI) and the database of all regulatory instruments/documents (RI Database);

• the list of Service Providers*^[1] obligations;

• the list of CRA obligations; and

• the related tools and templates.

All these documents are available to all CRA staff in the folder “Compliance Framework” on the common share drive \undefined0.2.56.35\regpolicies_public. The LRI and RI Database are available in this folder on the share drive: \undefined0.2.56.35\RegPolicies_public\RI.