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Anti Money Laundering & Terrorist Financing for Securities Professionals

 

Lesson 1: Money Laundering And Terrorist Financing Background

Money Laundering:

  • The Three Stages of Money Laundering
  • The Geographical Flow of Funds
  • Frequently Used Money Laundering Mechanisms
  • Money Laundering Mechanisms Involving the Securities Industry
  • Unconventional Parallel Banking and Informal Value Transfer Systems
  • How Technology Is Assisting Money Launderers

Terrorism And Terrorist Financing:

  • Detecting and Deterring Terrorist Financing

Lesson 2: Canadian Anti-Money Laundering And Anti-Terrorist Financing Regulations

  • Early Canadian Anti-Money Laundering Regulations
  • The Regulatory Focus Changes on September 11, 2001
  • Canada's Anti-Terrorism Measures
  • FINTRAC
  • Personal Information Protection
  • Attacking The Problem Using More Than Just Money
  • Laundering Regulations
  • International Regulatory Efforts
  • Other International Initiatives

Lesson 3: Account Related Activities

  • Fulfilling Client Identification Requirements
  • Account Opening Red Flags
  • Account Transaction Red Flags

Lesson 4: Setting Up A Compliance Regime In Accordance With FINTRAC's Guideline 4

  • The Appointment of a Compliance Officer
  • The Development and Application of Compliance Policies and Procedures
  • Record Retention
  • Reporting Requirements
  • Auditing a Firm's Anti-Money Laundering and Anti-Terrorist Financing Efforts
  • On-Going Compliance Training for Employees
QUIZ FORMAT
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20
Passing Grade 60%*
Attempts Allowed Unlimited*
ENROLMENT PERIOD
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.

National/Provincial (Excluding Quebec)
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