Annual Anti-Money Laundering and Anti-Terrorist Financing Training for Registrants
Overview
Ensure your team satisfies its annual AML/ATF training requirement under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act. In this focused session, Chris will review what’s new and what’s tripping firms up: FINTRAC’s audit approach and document asks, AMPs and “name-and-shame” risks, core obligations (policies, risk assessments, two-year effectiveness reviews), evolving PEP/HIO definitions, sanctions-related reporting, and red flags from onboarding through ongoing monitoring. You’ll leave with clear actions for PM/EMD environments on what to tighten, what to update, and how to evidence compliance. Practical lessons are included for both compliance staff and front-line employees.
Where
Virtual
Speakers
Chris Tooley
Senior Legal Counsel
BLG Beyond AUM Law
Chris Tooley
Senior Legal Counsel
BLG Beyond AUM Law
Chris is a securities lawyer whose practice focuses on advising registered portfolio managers, exempt market dealers and investment fund managers on their obligations under securities legislation and other laws.
Chris registers firms with securities regulatory authorities and provides them with the documentation required to onboard clients and operate their businesses. He also trains representatives, executives and staff of clients on their regulatory obligations, advises them on an ongoing basis, and guides them through regulatory audits carried out by the securities regulatory authorities and FINTRAC. Chris helps clients build their businesses while remaining onside securities laws and regulations.
Chris works closely with Chief Compliance Officers, Ultimate Designated Persons, directors, and other executives at registered firms.