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Lesson 1: Money Laundering and Terrorist Financing Background

Money Laundering

Topics covered in this chapter are:

  • 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

Topics covered in this chapter are:

  • Detecting and Deterring Terrorist Financing

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

Topics covered in this chapter are:

  • 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

Topics covered in this chapter are:

  • 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

Topics covered in this chapter are:

  • 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

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