COMPLIANCE CHECKLIST
A. PURPOSE
The primary purpose of the compliance checklist is to serve as a tool for you, the
member, in ensuring the highest quality of service to your clients. Members should be
able to answer YES to each of the questions posed on the checklist. By following the
compliance checklist and doing a self-check of your immigration practice, the member
also gains education, minimizes exposure to risk and will be better prepared for auditing
by CSIC.
While the compliance checklist is intended to assist you, the member, in the management
of your immigration practice, it is NOT an exhaustive list of the forms or types of
situations which may arise in the course of your practice as an immigration consultant
and is NOT intended to be a substitute for your own research and judgment. You have a
separate and independent obligation to understand and operate your practice in
accordance with CSIC’s By-laws, Rules and Policies as they presently exist and as may
be amended or added to from time to time [see Section C – References].
B. DEFINITIONS
Commentary:
1. An agent is not an immigration consultant and may not
represent, advise, or consult with a client. Any person, either
domestic or foreign, assisting immigration consultants with
obtaining clients or information regarding clients, will be deemed
to be an agent.
“Board” means the Immigration and Refugee Board, which consists of the
Refugee Protection Division, Refugee Appeal Division,
Immigration Division and Immigration Appeal Division.
“By-laws” means the By-laws of CSIC from time to time in force and effect.
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“CSIC Chief means any person appointed pursuant to the provisions of the
Executive subsection 9.7(f) of By-law 9.
Officer”
“Members” means the full members of CSIC as defined in the By-laws and
“member” means any one of them.
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“Rules of” means the rules established by resolution of the Board of Directors
Professional to govern the professional conduct of members, and student
Conduct” members.
C. REFERENCES
(a) By-laws
(b) Rules of Professional Conduct;
(c) Client account rules;
(d) Retention of records and file management guidelines;
(e) Guidelines for advertising, solicitation and making services available; and
(f) CSIC logo guidelines & terms of use.
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2.8 Do you keep accounting records and completed client account records on-
site for a minimum of six (6) years?
2.9 When money is received from a client, do you record in a book of original
entry:
a) The client for whom the money is received? ___
b) The name of the person from whom the money is received, and their ___
relationship to the client?
c) The date on which the money is received? ___
d) The method by which the money is received? ___
e) The amount of money received? ___
2.10 When a disbursement is made out of money held on behalf of a client, do
you record in a book of original entry:
a) The client on whose behalf the money is disbursed? ___
b) The person to whom the money is disbursed? ___
c) The date on which the money is disbursed? ___
d) The method by which the money is disbursed? ___
e) The amount of money disbursed? ___
2.11 Do you maintain a clients’ account ledger showing separately for each
client for whom money is received:
a) All money received from the client (credits) ___
b) Disbursements and fees paid on behalf of the client (debits)? ___
c) Any unexpended balance? ___
2.12 If you have more than one client account, do you keep a record showing all
transfers of money between any of the client accounts, with detailed
explanations in regards to the purpose of each transfer?
2.13 Do you maintain a fees book, or a chronological file of copies of billings
(invoices) showing:
a) The identity of each client? ___
b) The fees charged to each client? ___
c) The dates on which the fees were charged to each client? ___
2.14 Do you perform a detailed monthly reconciliation of your client account(s)?
2.15 Do you keep copies of all client account bank statements and general
account bank statements directly related to your practice?
2.16 If you perform pro bono work as an immigration consultant, do you handle
money, and keep proper records of all moneys received and disbursed, in
the same manner as with a charged client?
2.17 Do you keep all invoices and receipts for all payment of fees in the client
file?
2.18 Do you send out final invoices to the client within thirty (30) days of
termination of the retainer?
2.19 Do you provide detailed information on the invoices and receipts you issue,
such as:
a) Your CSIC membership number? ___
b) Your tax identification as appropriate? ___
c) CSIC contact information? ___
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6.15 Do you keep copies of proceedings and correspondences for your records?
7.4 If you operate a web page, does the homepage contain a link to the official
CSIC website?
7.5 If you operate a website, are your full name, the full name(s) of all CSIC
member(s) employed by your company, and your membership with CSIC
clearly stated on the homepage of the website, or via a hyperlink button
connected to your homepage?
7.6 If you have an agent or business affiliate who advertises your immigration
consultancy services, do all the agent and/or business affiliate
advertisements of your immigration consulting services properly list your
full name and indicate that you are a “Member of the Canadian Society of
Immigration Consultants (CSIC)”?
7.7 Does the stationery you use in your practice indicate your full name, the
full names of all the CSIC members employed by your company, and that
each of you is a “Member of the Canadian Society of Immigration
Consultants (CSIC)”?
7.8 Do your business cards list your company name, your full name, and that
you are a “Member of the Canadian Society of Immigration Consultants
(CSIC)”?
7.9 If you use the CSIC logo, is it used in accordance with the CSIC Logo
Guidelines & Terms of Use?
7.10 If you use the CSIC logo, do you have written approval from the CSIC
Chief Executive Officer or his/her designate to use the CSIC logo?
7.11 In the event that CSIC amends the CSIC logo, and you use the CSIC logo,
do you update any and all advertising materials within thirty (30) days after
you have been notified by CSIC of the amendments to the logo?
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