Updated Guidance – Anti-Money Laundering Compliance for Investment Dealers

23-0111
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CIRO is publishing an updated version of GN-3200-21-007 – Anti-Money Laundering Compliance Guidance. The updated Guidance Note is effective immediately. 

GN-3200-21-007 was originally published on November 25, 2019. Since then, there have been changes to federal anti-money laundering and anti-terrorist financing laws, regulations and guidance. As a result, we updated the Guidance Note to ensure it remains consistent with current federal legislation. 

We also made changes to reflect CIRO’s interim rules, new name and structure, and clarified the Guidance Note only applies to CIRO’s Investment Dealer Members. 

We did not make any significant changes to the Guidance Note’s content. 

In Appendix B, we included a blackline showing the updates we made to GN-3200-21-007. 

Appendices

Appendix A – GN-3200-23-001 – Anti-Money Laundering Compliance Guidance for Investment Dealers 

Appendix B – GN-3200-23-001 blacklined to GN-3200-21-007.

23-0111
Type: Rules Bulletin >
Approval/​Implementation
Distribute internally to
Institutional
Internal Audit
Legal and Compliance
Senior Management
Trading Desk
Retail
Rulebook connection
IDPC Rules
Division
Investment Dealer

Contact

Other Notices associated with this Enforcement Proceeding: