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Proceeds of Crime (Money Laundering) and Terrorist Financing Registration Regulations (SOR/2007-121)

Regulations are current to 2020-07-28 and last amended on 2020-06-01. Previous Versions

SCHEDULE 1(Sections 2, 5 and 6.01)Information To Be Included in Application for Registration or Renewal of Registration, Notification of Changes to Information in Existing Application, Notification of Newly Obtained Information and Clarification of Information in Existing Application

PART AIdentifying Information with Respect to Applicant

  • 1 
    Applicant’s name and operating name
  • 2 
    Status of applicant (whether sole proprietorship, partnership, corporation or other)
  • 3 
    In the case of an entity, its registration or incorporation number, jurisdiction and country of issue of that number and date on which number was issued
  • 4 
    [Repealed, SOR/2019-240, s. 92]
  • 5 
    Address of place of business
  • 6 
    Applicant’s telephone number
  • 7 
    Applicant’s URL
  • 8 
    Every service referred to in paragraph 5(h) or (h.1) of the Act, or every activity referred to in paragraph 5(l) of the Act, in respect of which applicant is applying to be registered or to have registration renewed
  • 9 
    Existing registration number issued to applicant by the Centre (in the case of an application for renewal of registration, notification of changes to information in existing application or of newly obtained information or clarification of information in existing application)
  • 10 
    [Repealed, SOR/2019-240, s. 93]
  • 11 
    [Repealed, SOR/2019-240, s. 93]

PART BInformation with Respect to Applicant

  • 1 
    Type of information submitted (information contained in application for registration or renewal of registration, notification of changes to information in existing application or of newly obtained information or clarification of information in existing application)
  • 2 
    Date of submission of application, notification or clarification
  • 3 
    [Repealed, SOR/2019-240, s. 97]
  • 4 
    Mailing address of place of business (if different from address in item 5 of Part A)
  • 5 
    Applicant’s email address
  • 6 
    If applicant is a person, their name, date of birth and country and political subdivision or territory of birth and of residence
  • 7 
    If applicant is a corporation
    • (a) 
      name, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of its shares
    • (b) 
      name, incorporation number and jurisdiction and country of incorporation of every corporation that owns or controls, directly or indirectly, 20% or more of its shares
    • (c) 
      name, registration number and jurisdiction and country of registration of every entity other than a corporation that owns or controls, directly or indirectly, 20% or more of its shares
  • 8 
    If applicant is an entity other than a corporation
    • (a) 
      name, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of entity
    • (b) 
      name, incorporation number and jurisdiction and country of incorporation of every corporation that owns or controls, directly or indirectly, 20% or more of entity
    • (c) 
      name, registration number and jurisdiction and country of registration of every entity other than a corporation that owns or controls, directly or indirectly, 20% or more of entity
  • 8.1 
    If applicant is a foreign money services business,
    • (a) 
      telephone number and email address of person who resides in Canada and who is authorized to accept, on applicant’s behalf, notices that are served or caused to be served by the Centre under the Act
    • (b) 
      if document that sets out applicant’s record of criminal convictions — or, if applicant is an entity, record of criminal convictions of applicant’s chief executive officer, president and directors and persons who own or control, directly or indirectly, 20% or more of entity or shares of entity — or that states that applicant or those persons do not have record is made in language other than English or French,
      • (i) 
        country, political subdivision or territory and city from which document originated
      • language in which document made
      • name of provincial organization in Canada that issued translator’s certification and name of translator
  • 9 
    Name, address, account number and branch number or transit number of every financial entity, and every entity outside Canada that provides financial services, with which applicant maintains account for purposes of providing services referred to in paragraph 5(h) or (h.1) of the Act
  • 10 
    Name and address of every money services business and foreign money services business used by applicant to conduct transactions and registration number issued to that money services business or foreign money services business by the Centre
  • 11 
    Name, address, telephone number and email address of person referred to in paragraph 71(1)(a) of the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations who is responsible for implementation of compliance program
  • 12 
    Language in which records of applicant are kept under the Act
  • 13 
    Indication as to whether service referred to in item 8 of Part A is provided, or activity referred to in that item is carried out, in a dwelling-house
  • 14 
    Number of persons employed by applicant for purposes of services or activities referred to in item 8 of Part A (at time of application for registration or renewal of registration)
  • 15 
    Approximate annual value in Canadian dollars of all foreign exchange transactions and all other services or activities referred to in item 8 of Part A (at time of application for registration or renewal of registration)
  • 16 
    Name, address, telephone number, email address and title of person submitting application on applicant’s behalf
  • 17 
    [Repealed, SOR/2019-240, s. 98]
  • 18 
    Indication of whether applicant has previously submitted application for registration

PART CInformation with Respect to Applicant’s Agents or Mandataries and Branches

  • 1 
    Name and operating name of every agent or mandatary
  • 2 
    Address and telephone number of every agent or mandatary and branch
  • 3 
    Every service or activity referred to in item 8 of Part A that is provided or carried out by agent or mandatary or branch
  • 4 
    Relationship to applicant (whether agent or mandatary or branch)
  • 5 
    [Repealed, SOR/2019-240, s. 101]
  • SOR/2008-21, s. 22
  • SOR/2016-153, s. 99(F)
  • SOR/2019-240, s. 88
  • SOR/2019-240, s. 89(F)
  • SOR/2019-240, s. 90
  • SOR/2019-240, s. 91
  • SOR/2019-240, s. 92
  • SOR/2019-240, s. 93
  • SOR/2019-240, s. 94
  • SOR/2019-240, s. 95
  • SOR/2019-240, s. 96(F)
  • SOR/2019-240, s. 97
  • SOR/2019-240, s. 98
  • SOR/2019-240, s. 100(E)
  • SOR/2019-240, s. 101
 
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