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Compliance with the Proceeds of Crime Money Laundering and Terrorist Financing Act

Seminar Date and Time:

 February 21, 2019                                                     

2:00 p.m. – 4:00 p.m.                 

Location for In-person Session:

Ontario Heritage Centre

10 Adelaide Street East, Gallery Room

Toronto, ON M5C 1J3

Description:

The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) will be conducting a seminar.  This seminar is designed to address the implementation and maintenance of a compliance regime as well as client identification, record keeping and reporting obligations in accordance with the Proceeds of Crime Money Laundering and Terrorist Financing Act (PCMLTFA). FINTRAC will address this by providing an overview of:

  • Securities dealers' PCMLTFA obligations, the examination process and assessment approach with a focus on a compliance program's overall effectiveness;  
  • Common deficiencies observed in examinations conducted in this sector and best practices; and
  • The role and importance of Securities dealers in submitting suspicious transaction reports.

Who Should Attend:

Registered representatives, ultimate designated persons, chief compliance officers, persons responsible for client reporting, and legal counsel of registrants (e.g., IFMs, PMs, EMDs and SPDs). 

Benefits:

  • Enhanced understanding of the client identification, recordkeeping and reporting obligations in accordance with the PCMLTFA.
  • Enhanced understanding of FINTRAC’s examination process and common deficiencies observed across securities dealers and advisors.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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