Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
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.