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Amendments to Manual 013: Compliance and Enforcement Program, AER Bulletin 2019-27

Link to Bulletin Summarized

Bulletin – Compliance Assurance

The AER released a new edition of Manual 013: Compliance and Enforcement Program. This manual provides details on how the AER administers compliance assurance and guides AER staff in the development and execution of compliance processes and procedures. Since the original release of this manual in February 2016, the AER’s compliance assurance program has evolved, requiring amendments to some of the sections. Some grammar and formatting were also amended for clarity.

Major changes include the following:

  • section 3 has been expanded to discuss compulsory reporting as one way the AER becomes aware of non-compliances;

  • sections 4 and 5 have been merged and simplified;

  • the following compliance and enforcement tools in section 6 have been clarified: notice of noncompliance, warning, and administrative sanctions;

  • the section on administrative penalties has been expanded to include economic benefit; and

  • section 6 now includes information on the compliance dashboard.

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