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Archive for June 2017

June 13, 2017

A Checklist for Canadian Securities Dealers as Many Fall Short in Meeting AML Requirements

When it comes to compliance, many Canadian investment firms are not meeting their anti-money laundering (“AML”) obligations. This article assists these firms by providing them with valuable insights.   What are the Requirements? What Types of Firms are Responsible? The Proceeds of Crime (Money Laundering) and Terrorist Financing Act (“PCMLTFA” or “the Act”) requires that