Quick Links

Some users may be experiencing difficulties accessing the platform due to a recent authentication update. Our teams are actively investigating this issue as a top priority, and we are committed to restoring full service as quickly as possible. Thank you for your patience and understanding.

About

Advisors who “know their clients”, as well as those who monitor and supervise daily activities, are in a perfect position to identify suspicious transactions or attempted transactions relating to money laundering or terrorist activity financing during account openings and client transactions. Beneficial ownership is important for consideration given these entities include corporations, partnerships and other legal vehicles which money launderers may seek to hide behind. To identify such activity, advisors and other employees must be capable of identifying red flags that either individually or in their totality suggest that money laundering may be taking place. Once possessed of such information, it is important for employees to understand what their obligations are with respect to such information. This course will help advisors and dealer members understand what activity is indicative of money laundering and what to do once they’ve identified suspicious activity.

Who should enrol?

  • Investment Advisors
  • Financial Planners
  • Wealth Managers
  • Individuals who are subject to CE compliance requirements