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Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations

Version of section 57.2 from 2016-06-30 to 2021-05-31:


 A securities dealer that is required to ascertain a person’s identity or confirm an entity’s existence shall

  • (a) conduct ongoing monitoring of their business relationship with that person or entity; and

  • (b) keep a record of the measures taken and the information obtained under paragraph (a).

  • SOR/2013-15, s. 8
  • SOR/2016-153, s. 47
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