Financial Services _Çô Client Services RFC126 Chapter Notes - Chapter 1: National Do Not Call Registry, National Instruments, Terrorism Financing

• School: Seneca College
• Department: Financial Services _Çô Client Services
• Course: Financial Services _Çô Client Services RFC126
• Professor: marie

Document Summary

Mutual fund dealers industry regulated through: the securities acts, responsibility of each securities regulator, national instruments from the csa, harmonized regulations made by securities regulators through. Csa: ni 31-103, ni 81-101, ni 81-102, ni 81-105, mfda rules, regulate operations, standards of practice, and business conduct of its members. National instruments (from csa: ni 31-103, requirements for firms and individuals to register with provincial. Regulations: proceeds of crime (money laundering) and terrorist financing act (pcmltfa, personal information protection and electronic documents act (pipeda, do not call list (dncl) Proceeds of crime (money laundering) and terrorist financing act (pcmltfa) Detects and prevents money laundering and terrorist financing . Gives law enforcement tools to investigate and prosecute offenders . Helps canada participate in fight against multinational crime . Requires dealing rep to : report to. Financial transactions and reports analysis centre of canada (fintrac) Collects, analyzes, and discloses info to help detect and prevent offences towards the pcmltfa .