The Financial Services Regulatory Authority of Ontario (FSRA) is responsible for supervising and regulating a broad range of financial service sectors. FSRA issues guidance to make it easier for the public, new entrants and incumbents to understand what is legally binding, what is FSRA’s interpretation or application of law and what information is designed to be helpful. All guidance is issued in accordance with FSRA's Guidance Framework.

The following table lists Active guidance. Use the filters to search the table or enter text in the search field. Please reach out to our contact centre if you require assistance.

Note: 

  • To find inactive guidance select “inactive from the “Status” filter.
  • For information on inactive / Inherited guidance, follow this link Inherited Guidance
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Showing 901 to 1000 of 1065 entries
Sector Status Category Guidance Number Guidance Name
Pensions Inactive Filing - General Regulatory PE0668ORG Rule #3 - Optional Electronic Filings Rule
Pensions Inactive Filing - Pensions PE0684ORG Rules concerning the Statement of Investment Policies and Procedures (SIPP)
Pensions Inactive Locked-in Accounts PE0064ORG Rules for Financial Hardship Unlocking
General Regulatory Inactive Hearing Procedures GR0006ORG Rules of Practice and Procedure for Hearings Before the Superintendent of Financial Services
Pensions Inactive Pension Decisions PE0530ORG Rules of Practice for Proceedings Under Section 89 of the Act: General, PreHearing Conferences, Settlement Conferences, Disclosure, Written Hearings, Electronic Hearings
Pensions Inactive Pension Decisions PE0530ORG Rules of Practice for Proceedings Under Section 89 of the Act: General, PreHearing Conferences, Settlement Conferences, Disclosure, Written Hearings, Electronic Hearings
Pensions Inactive Benefits PE0367ORG Same-Sex Spousal Benefits - Leshner Ruling Explained
Pensions Inactive Spousal Rights PE0567ORG Same-Sex Spouse Survivor Benefits
HSP Inactive Annual Information Return (AIR) - HSP HP0030ORG Sample - Health Service Provider Annual Information Return (AIR)
Pensions Active Administration - Pensions PE0045ORG Sample Retention Schedule for Pension Plan Records
Pensions Active Locked-in Accounts PE0151ORG Schedule 1 Life Income Funds (Old LIFs)
Pensions Inactive Locked-in Accounts PE0465ORG Schedule 1 Life Income Funds (Old LIFs)
Pensions Active Locked-in Accounts PE0150ORG Schedule 1.1 Life Income Funds (New LIFs)
Pensions Inactive Locked-in Accounts PE0466ORG Schedule 1.1 Life Income Funds (New LIFs)
Pensions Active Locked-in Accounts PE0153ORG Schedule 2 Locked-In Retirement Funds (LRIFs)
Pensions Active Administration - Pensions PE0124ORG Searching for Plan Beneficiaries
Pensions Inactive Membership PE0376ORG Seasonal Workers
Auto Inactive Forms - Auto AU0062ORG Second set of plain-language policy change forms
Pensions Inactive Investments - Pensions PE0433ORG Securities Investments
CU-CP Active Securitization CU0037ORG Securitization Guidance Note
CU-CP Active Securitization CU0080ORG Securitization Reporting Template
CU-CP Inactive Corporate Governance CU0077ORG Self Assessment Workbook: Corporate Governance for Audit Committee (2018)
CU-CP Inactive Corporate Governance CU0076ORG Self Assessment Workbook: Corporate Governance for Board of Directors (2018)
CU-CP Inactive Corporate Governance CU0078ORG Self Assessment Workbook: Corporate Governance for Management (2018)
Pensions Inactive Locking in PE0496ORG Self-Directed RRSPs And Home Mortgages
Pensions Active Membership PE0156ORG Separate Pension Plan for Part-Time Employees - Reasonably Equivalent Pension Benefits and Other Benefits
Pensions Inactive Membership PE0499ORG Separate Pension Plan for Part-Time Employees - Reasonably Equivalent Pension Benefits and Other Benefits
HSP Inactive Licensing - HSP HP0013ORG Service provider frequently asked questions: Fees
Pensions Active Benefits PE0263ORG Settlement of Benefits
Pensions Inactive Locking in PE0486ORG Shortened Life Expectancy
Pensions Active Locked-in Accounts PE0148ORG Shortened Life Expectancy
Pensions Inactive Locked-in Accounts PE0437ORG Shortened Life Expectancy - Provision in Plan Text
Pensions Inactive Locked-in Accounts PE0438ORG Shortened Life Expectancy - Verification Required by Financial Institution
Pensions Inactive Wind up PE0635ORG Significant Numbers of Members
Pensions Inactive Filing - Pensions PE0522ORG Simplified Filing Procedure
Pensions Inactive Funding PE0397ORG Solvency Funding and the PBGF - Amendments to Regulation
Pensions Inactive Funding PE0001ORG Solvency Funding Relief Measures
Pensions Inactive Funding PE0657ORG Solvency Funding Relief Questions Answered (2009)
CU-CP Inactive Risk Management CU0043ORG Sound Business and Financial Practices Manual
Pensions Inactive Locked-in Accounts PE0459ORG_ Spousal Consent Form
Pensions Inactive Locked-in Accounts PE0458ORG Spousal Consent Required
Pensions Inactive Locked-in Accounts PE0456ORG Spousal Death Benefit
Pensions Inactive Locked-in Accounts PE0457ORG Spousal Pre-retirement Death Benefit
Pensions Inactive Miscellaneous PE0410ORG Spring 1995 Bulletin
Auto Inactive Consumer Protection - Auto AU0092ORG Staged Auto Accidents: Protect Yourself from this Fraud
Auto Active Filing - Auto AU0126APP Standard Filing
Pensions Inactive Investments - Pensions PE0145ORG Statements of Investment Policies and Procedures (SIPPs) for Member-Directed Defined Contribution Plans
Auto Active SABS AU0133INT Statutory Accident Benefits Claims during the COVID-19 Outbreak
CU-CP Inactive Stress testing CU0038ORG Stress Testing Guidance Note
CU-CP Active Stress testing CU0065INT Stress Testing *New
CU-CP Active Structural CU0039ORG Structural Risk Guidance Note
Pensions Inactive Membership PE0503ORG Students Generally Not Eligible - PBA s. 1(1)
HSP Inactive Communications HP0036ORG Subscription Centre
Pensions Inactive Surplus PE0592ORG Subsections 79(2) and (4) of the PBA Came Into Effect January 1, 1998
Pensions Active Commuted Value PE0279ORG Subsidized Early Retirement & Bridge Benefits where Eligibility Requirements have been Met and Plan Provides for Transfer Options
Pensions Inactive Wind up PE0636ORG Successor Plan Does Not Preclude Wind Up of Original Plan (December 1995)
Pensions Inactive Wind up PE0637ORG Successor Plan Does Not Preclude Wind Up of Original Plan (December 2011)
Pensions Inactive Miscellaneous PE0411ORG Summer 1995 Bulletin
Pensions Inactive Asset Transfers PE0354ORG Superintendent Consent Required for Asset Transfer under subsection 81(8)
Pensions Inactive Asset Transfers PE0356ORG Superintendent Consent to Transfer of Assets (Sale Before 1188; Transfer After 1188)
Pensions Active Miscellaneous PE0114ORG Superintendent Consents (from 2009 onwards)
Pensions Active Miscellaneous PE0115ORG Superintendent Declarations (from 2009 onwards)
Pensions Active Miscellaneous PE0116ORG Superintendent Notices of Intended Decision (from 2009 onwards)
Pensions Inactive Filing - Pensions PE0051ORG Superintendent of Financial Services Approved Family Law Forms
Pensions Active Miscellaneous PE0117ORG Superintendent Orders (from 2009 Onwards)
Auto Inactive SABS AU0123ORG Superintendent's and Commissioner's Guidelines - Auto Insurance SABS
General Regulatory Inactive Filing - General Regulatory GR0005ORG Superintendent's Electronic Service & Delivery and Filing Rules
Auto Active Transportation Expense AU0125ORG Superintendent's Guideline No. 04/16: Transportation Expense Guideline
Insurance Inactive Capital Testing PC0041ORG Superintendent's Minimum Capital Test Guideline
Auto Active Attendant Hourly Rate AU0053ORG Superintendent’s Guideline No. 01/18: Attendant Care Hourly Rate Guideline
Mortgage Active Syndicated Mortgage Investments MB0037APP Supervision Approach for High-risk Syndicated Mortgage Investments
Pensions Active Supervisory Approach PE0199APP Supervisory Approach for Single Employer Defined Benefit Pension Plans that are Actively Monitored
Pensions Active Asset Transfers PE0205APP Supervisory Approach to Defined Benefit Asset Transfers Under the Pension Benefits Act
Pensions Inactive Surplus PE0593ORG Surplus Applications Affecting Members, Former Members or Other Persons with Employment in a Jurisdiction Other Than Ontario
Pensions Inactive Surplus PE0602ORG Surplus Attributable to Employee and Employer Contributions on Plan Wind Up
Pensions Inactive Surplus PE0603ORG Surplus Attributable to Employer and Employee Contributions on Plan Wind Up
Pensions Inactive Surplus PE0604ORG Surplus Attributable to Employer and Employee Contributions on Plan Wind Up
Pensions Inactive Surplus PE0589ORG Surplus Distribution - The Role of Legal Counsel in Obtaining Written Consent
Pensions Active Surplus PE0164ORG Surplus Distribution by Written Agreement - The Role of Legal Counsel
Pensions Inactive Surplus PE0605ORG Surplus Distribution in Cash in Continuing Plan
Pensions Active Surplus PE0166ORG Surplus Distribution in Cash in Continuing Plan
Pensions Inactive Surplus PE0587ORG Surplus Distribution to an Employer - PBA, 1990, s. 78, s. 79 and O. Reg. 909, s. 8
Pensions Inactive Surplus PE0590ORG Surplus Distribution to an Employer - PBA, s. 78 and 79 and Reg. 909, s. 8
Pensions Inactive Surplus PE0527ORG Surplus Refund Applications on Wind Up - Acknowledgment of Applications, Representations and Communication of Commission Decision, PBA, 1990 ss. 78(3), O. Reg. 909 ss. 8(2)
Pensions Inactive Surplus PE0528ORG Surplus Refund Applications on Wind Up - Late Representations and Submissions
Pensions Inactive Surplus PE0601ORG Surplus Remaining in Wound-up Plans
Pensions Inactive Amendments PE0327ORG Surplus Withdrawal Amendments
Pensions Active Surplus PE0089ORG Surplus Withdrawal Applications
Pensions Inactive Benefits PE0368ORG Survivor Benefit Waived
Pensions Active Funding PE0216ORG Suspension of Employer Contributions in Defined Contribution Plans
Pensions Inactive Supervisory Approach PE0667ORG Targeted Review: Form 7 – Contribution Reporting & Monitoring Process (2017)
Pensions Inactive Supervisory Approach PE0666ORG Targeted Review: Member Option Statements – Termination and Retirement (2018)
Pensions Inactive Supervisory Approach PE0192ORG Targeted Reviews
Pensions Inactive Supervisory Approach PE0665ORG Targeted Reviews - Frequently Asked Questions (2017)
Auto Inactive Technical Amendment AU0057ORG Technical Amendments to Auto Insurance Regulations
Auto Active Filing - Auto AU0101ORG Technical Notes for Automobile Insurance Rate and Risk Classification Filings
Pensions Inactive Funding PE0674ORG Temporary Solvency Funding Relief Measures
Pensions Active Membership PE0222ORG Termination of Plan Membership Without Termination of Employment
General Regulatory Active Innovation GR0010APP Test and Learn Environments (TLEs) for Financial Services Innovation
Pensions Inactive Funding PE0655ORG The Determination of Whether a Plan is a "Closed Plan" (pre May 21, 2019)