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FINTRAC

Question: Is there any guidance to assist Members in complying with their anti-money laundering obligations?

Response: Members may refer to the following links for information and guidance regarding compliance with their anti-money laundering obligations:

• IIROC Anti-Money Laundering Compliance Guidance – October, 2010;
• The Proceeds of Crime (Money Laundering) and Terrorist Financing Act;
  • and Regulations;
• Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) Guidelines provide information and implementation guidance in respect of reporting requirements under the Act and Regulations:
  • Guideline 1: Backgrounder
  • Guideline 2: Suspicious Transactions
  • Guideline 3A: Submitting Suspicious Transaction Reports to FINTRAC Electronically
  • Guideline 3B: Submitting Suspicious Transaction Reports to FINTRAC by Paper
  • Guideline 4: Implementation of a Compliance Regime
  • Guideline 5: Submitting Terrorist Property Reports to FINTRAC
  • Guideline 6E: Record Keeping and Client Identification for Securities Dealers
  • Guideline 7A: Submitting Large Cash Transaction Reports to FINTRAC Electronically
  • Guideline 7B: Submitting Large Cash Transaction Reports to FINTRAC by Paper
  • Guideline 8A: Submitting Non-SWIFT Electronic Funds Transfer Reports to FINTRAC Electronically
  • Guideline 8B: Submitting SWIFT Electronic Funds Transfer Reports to FINTRAC
  • Guideline 8C: Submitting Electronic Funds Transfer Reports to FINTRAC by Paper
  • Guideline 9: Alternative to Large Cash Transaction Reports to FINTRAC
• FINTRAC Interpretation Notices (FINs) provide technical interpretations and positions regarding certain provisions contained in the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations;
• Other FINTRAC Publications:
  • Reporting Forms
  • Information Sheet for securities dealers – summary of legislative requirements
  • Politically Exposed Foreign Person Determination – pamphlet explaining when reporting entities have to determine if their clients are politically exposed foreign persons
  • Guide for Submitting the Compliance Assessment Report
  • Webinars for Reporting Entities