The AMF sets guidelines for various financial institution categories.
These guidelines help set standards governing the activities and conduct of these institutions, particularly with regard to solvency (capital adequacy) and sound and prudent management practices.
The following diagram presents the guidelines that convey the expectations of the AMF for financial institutions and illustrates the philosophy of the AMF in the development of prudential supervision.
Guidelines diagram
Sound and prudent management practices and sound commercial practices
- Governance Guideline (pdf - 643 KB)This link will open in a new windowInitial publication April 2009 - Updated September 2016
- Integrated Risk Management Guideline (pdf - 555 KB)This link will open in a new windowInitial publication April 2009 - Updated May 2015
- Compliance Guideline (pdf - 474 KB)This link will open in a new windowInitial publication April 2009 - Updated April 2017
- Guideline Governing Integrity and Competency Criteria (pdf - 203 KB)This link will open in a new windowJune 2012
- Sound Commercial Practices Guideline (pdf - 341 KB)This link will open in a new windowJune 2013
- Fair Consumer Practices Guideline (pdf - 753 KB)This link will open in a new windowNew - July 2018
- Capital Management Guideline (pdf - 487 KB)This link will open in a new windowMay 2015
- Operational Risk Management Guideline (pdf - 330 KB)This link will open in a new windowDecember 2016
- Residential Hypothecary Lending Guideline (pdf - 620 KB)This link will open in a new windowInitial publication January 2013 – Updated March 2018
- Outsourcing Risk Management Guideline (pdf - 225 KB)This link will open in a new windowInitial publication April 2009 - Update December 2010
- Liquidity Risk Management Guideline (pdf - 134 KB)This link will open in a new windowApril 2009
- Business Continuity Management Guideline (pdf - 115 KB)This link will open in a new windowApril 2010
- Investment Management Guideline (pdf - 75 KB)This link will open in a new windowAugust 2010
- Derivatives Risk Management Guideline (pdf - 86 KB)This link will open in a new windowAugust 2010
- Interest Rate Risk Management Guideline (pdf - 114 KB)This link will open in a new windowApril 2009
- Securitization Risk Management Guideline (pdf - 144 KB)This link will open in a new windowApril 2009
- Guideline on Principal Protected Notes (pdf - 269 KB)This link will open in a new windowUpdated on 13 April 2012
- Financial Crime Risk Management Guideline (pdf - 306 KB)This link will open in a new windowJune 2012
- Stress Testing Guideline (pdf - 310 KB)This link will open in a new windowJune 2012
- Risk Data Aggregation and Risk Disclosure Guideline (pdf - 373 KB)This link will open in a new windowFebruary 2016
Financial services cooperatives
Solvency requirements
- Adequacy of capital base (pdf - 7 MB)This link will open in a new window (Available in French only)
— Revised January 2017- Track changes (pdf - 9 MB)This link will open in a new window (Available in French only)
- Adequacy of capital base (pdf - 6 MB)This link will open in a new window (Available in French only)
— Revised January 2016- Track changes (pdf - 6 MB)This link will open in a new window (Available in French only)
- Reporting form and Instructions (Available in French only)
Liquidity requirements
Credit unions not members of a federation, trust companies and savings companies
Solvency requirements
- Capital Adequacy Guideline (pdf - 3 MB)This link will open in a new window
— Revised January 2017 - Capital Adequacy Guideline (pdf - 3 MB)This link will open in a new window
— Revised January 2016 - Reporting form and Instructions (Available in French only)
Liquidity requirements
Information Centre
For more information regarding these Guidelines, please contact the AMF Information Centre.