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FINRA COMPLIANCE OFFICE POLICY AND PROCEDURE MANUAL FORCE/MAX Hallmark Realty Ltd., BrokerageCompliance Regime: Key Details 1. Name of Broker:Ken McLachlan2. Name of Compliance Officer and Contact Details:Sarah

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How to fill out fintrac compliance

01

To fill out Fintrac compliance, follow these steps:

02

Start by gathering all necessary information and documents, such as client identification records, transaction details, and business information.

03

Begin with a client identification form, where you will collect and verify the client's personal information, such as their name, address, date of birth, and occupation.

04

Record all transactions made by the client, including the date, amount, type of transaction, and purpose.

05

Ensure proper record-keeping by maintaining a detailed transaction log and retaining supporting documents for at least five years.

06

Complete a Suspicious Transaction Report (STR) if you have knowledge or suspicion of a transaction related to money laundering or terrorist financing.

07

Submit the necessary reports and forms to Fintrac within the specified timeframes.

08

Regularly review and update your compliance program to ensure it remains current and effective.

09

Remember to familiarize yourself with the Fintrac guidelines and requirements for accurate and complete compliance reporting.

Who needs fintrac compliance?

01

Various entities and individuals require Fintrac compliance, including but not limited to:

02

- Financial institutions such as banks, credit unions, and trust companies

03

- Money services businesses such as foreign exchange dealers, money transfer businesses, and cryptocurrency exchanges

04

- Securities dealers and brokers

05

- Real estate brokers, sales representatives, and developers

06

- Casinos and gambling establishments

07

- Accountants and accounting firms when engaging in specific activities

08

- Dealers in precious metals and stones

09

- Life insurance companies

10

It is important for these businesses and individuals to understand and adhere to Fintrac compliance requirements to prevent money laundering and terrorist financing activities.

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What is fintrac compliance?

Fintrac compliance refers to the requirement for businesses to adhere to the regulations set by the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) to prevent money laundering and terrorist financing.

Who is required to file fintrac compliance?

Businesses in Canada that are engaged in specified activities, such as banking, real estate, casinos, and money services, are required to file Fintrac compliance reports.

How to fill out fintrac compliance?

Businesses can fill out Fintrac compliance reports online through the Fintrac website or by submitting paper forms through mail.

What is the purpose of fintrac compliance?

The purpose of Fintrac compliance is to help detect and prevent money laundering, terrorist financing, and other financial crimes by requiring businesses to report certain financial transactions.

What information must be reported on fintrac compliance?

Businesses must report information on certain financial transactions, suspicious activities, large cash transactions, and foreign transactions.

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