Updated Guidance – Anti-Money Laundering Compliance for Investment Dealers

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Member Regulation Policy

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. 


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.