Securities dealers play a critical role in combating the impact of money laundering and terrorist financing in Canada’s investment sector. This session provides the opportunity to hear directly from a FINTRAC subject matter expert on sector-specific compliance issues such as how to protect your business from money laundering/terrorist financing risks, highlights on the regulatory changes that came into effect on June 1, 2021, and the broader Canadian AML/ATF landscape. This session also delves into suspicious transaction reporting requirements, a crucial part of meeting your compliance obligations, and speaks to red flags relevant to the securities sector, as well as how to submit timely, high-quality reports to FINTRAC.
This session covers:
- Overview of Obligations
- What to Expect during a FINTRAC Examination
- Suspicious Transaction Reports (STRs)– a crucial component in the fight against money
- Looking Forward
This session is eligible for 1 Compliance credit from IIROC accreditations.
Speakers
Monique Guthrie
Senior Regional Compliance Officer
FINTRAC