EXPLORE PROGRAMS
Securities dealers — including investment dealers, mutual fund dealers, portfolio managers, and exempt-market dealers — are reporting entities under the PCMLTFA and are also supervised by the Canadian Investment Regulatory Organization (CIRO) and provincial securities commissions. The AML/CTF risks in capital markets — including securities-based money laundering, market abuse intersecting with ML, and the use of nominee and offshore structures — require specialized treatment. This annual training is designed for compliance, registered representative, operations, and supervisory staff at securities dealers. It addresses PCMLTFA obligations across account opening, suitability and KYC interactions, transaction monitoring in capital-markets contexts, and reporting. Recent FINTRAC and CIRO findings against Canadian dealers are used as the basis for the case studies.
You will learn how PCMLTFA obligations apply to securities dealers, how to identify and verify retail and institutional clients, how to determine beneficial ownership of corporate accounts, how to apply PEP/HIO rules, how to monitor for capital-markets ML typologies (wash trading, structuring through securities, free-riding), how to file STRs and any applicable LCTRs/EFTRs, and how to coordinate AML obligations with CIRO and provincial securities oversight.
Course Cost :
$100.00
