Back to: CIRO Institutional DMTP — Supplementary Modules (S1–S5)
0
The PCMLTFA framework and your obligations, PEPs and enhanced due diligence, and securities-specific AML red flags.
Learning objectives
By the end of this module, you will be able to:
Explain the key obligations under Canada’s PCMLTFA for securities dealers
Apply client due diligence and beneficial ownership requirements
Identify enhanced due diligence requirements for PEPs and other high-risk clients
Recognise securities-specific AML red flags and report suspicious transactions
Describe the firm’s AML compliance program and your own role within it
How this module runs
Work through the lessons in order. The module closes with the substantive content, a set of key takeaways, and a five-question knowledge check that must be passed at 80% before the module is marked complete.
