From Checkbox to Culture: How to Get FINTRAC Compliant

Learning Objectives By the end of this session, attendees will be able to:

• Distinguish between individual and brokerage compliance responsibilities
• Apply FINTRAC-approved methods for ID verification, PEP declarations, and sanctions screening
• Understand how and when to file Suspicious Transaction Reports (STRs)
• Navigate client risk assessments and how to document and retain findings properly
• Recognize common compliance pitfalls, including duplication issues when deals are referred
• Build or update an internal AML program — even for small brokerages
• Understand what ongoing monitoring means in a transactional industry and how to manage it
• Prepare for potential audits and understand what happens when something goes wrong (penalties, inspections, enforcement)