AML Compliance Services for Capital Markets Firms
Some capital markets businesses are reporting entities under Canadian law and a great many others are simply not at all. Knowing which category you occupy is the first question genuinely worth answering properly.
- FINTRAC Registered
- Cross-Border Expertise
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Who Is Actually a Reporting Entity
Canadian anti money laundering law names securities dealers as reporting entities, which captures investment dealers, portfolio managers, and mutual fund dealers. It does not automatically capture every business operating in capital markets. Exchanges, clearing houses, transfer agents, and firms trading only their own capital sit outside that definition, and treating them as though they were inside it wastes considerable effort.
Sitting outside the reporting entity definition does not mean sitting outside financial crime risk. Sanctions obligations arise under separate legislation and apply regardless of PCMLTFA status. Market integrity expectations, counterparty exposure, and the obligations of the members and clients you serve all create genuine requirements. The work is establishing precisely which of those reach you rather than assuming the answer either way.
Compliance Support Across Capital Markets
We deliver reporting entity determinations, securities dealer programme development, sanctions screening frameworks, investor and counterparty due diligence, market integrity controls, independent effectiveness reviews, and ongoing compliance support for capital markets businesses of every description.
PSP Registration
End-to-end PSP registration support under Canada's Retail Payment Activities Act framework.
MSB Licensing
Complete MSB licensing and FINTRAC registration for money services businesses nationwide.
Banking
Deliver secure banking compliance solutions supporting regulatory excellence and operational efficiency.
AML Compliance
Build robust AML frameworks ensuring regulatory compliance and effective financial crime prevention.
Regulatory Consulting
Receive strategic regulatory advice supporting sustainable growth and complete compliance confidence.
Transaction Monitoring
Ongoing transaction monitoring and screening to detect and report suspicious activity.
Why Capital Markets Firms Choose Us
We establish exactly which obligations reach your particular business before we build anything at all, because capital markets contains reporting entities and non reporting entities working side by side constantly.
Status Correctly Established
We determine whether you are genuinely a reporting entity, since capital markets contains both categories working closely together.
Sanctions Always Apply
We build sanctions screening regardless of reporting entity status, because those obligations arise under entirely separate legislation.
Right Sized Programmes
We build only what genuinely applies, so businesses outside the reporting regime never carry unnecessary compliance weight.
Counterparty Risk Covered
We assess exposure arriving through members, clients, and counterparties, which reaches firms whatever their own regulatory status.
Capital Markets Firms We Support
We support capital markets businesses in every province right across the whole of Canada, alongside foreign firms that have Canadian operations, clients, or counterparties located within the country itself today.
What Our Clients Say
Canadian financial firms trust ABM Global Compliance to navigate complex regulation with clarity and care. From MSB licensing to ongoing AML support, our clients value our responsiveness, expertise, and genuine commitment to their long-term compliance success.
Let's Talk About Your Compliance Needs
Schedule a Free Consultation
Whether you’re starting a new MSB or need ongoing AML support, our team responds within one business day.
Capital Markets Questions
Clear answers to the questions capital markets businesses ask most about whether Canadian anti money laundering obligations genuinely reach them.
Are we a reporting entity?
That depends on your activities. Securities dealers are captured, while exchanges, clearing houses, and proprietary traders generally are not.
What if we are not?
Sanctions obligations still apply under separate legislation, alongside market integrity expectations and risk arriving through your clients and counterparties.
Which firms are clearly captured?
Investment dealers, portfolio managers, and mutual fund dealers fall within the securities dealer category and carry full programme obligations.
Do sanctions rules apply regardless?
Yes. Sanctions requirements arise separately from the anti money laundering regime and reach businesses whatever their reporting entity status.
How do we establish scope?
By assessing what your business actually does against the defined categories, which we complete before recommending anything at all.