AML Compliance Services for Asset Management Companies
The manager is usually registered while the funds that it operates usually are not, and that single distinction decides where every obligation actually lands. We establish it before building anything at all.
- FINTRAC Registered
- Cross-Border Expertise
- Audit Ready
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Where Manager Level Obligations Actually Sit
Asset management involves two distinct things that people habitually treat as one. The management company is typically a registrant carrying reporting entity obligations, while the funds it operates are pooled vehicles that generally are not. Obligations attach to the registered manager rather than to each fund, and confusing the two produces either duplicated effort or gaps nobody noticed.
Investor onboarding is where that distinction becomes practical. Subscriptions arrive into funds, but the diligence obligation sits with the manager, and where a fund administrator or dealer handles subscriptions the work may be performed by somebody else entirely. Establishing who does what, and satisfying yourself it was done adequately, is the piece that most frequently goes undocumented until somebody requests the file.
Compliance Support for Asset Managers
We deliver manager and fund scope determinations, investor onboarding frameworks, delegated diligence oversight, subscription source controls, programme development for registered managers, independent effectiveness reviews, and ongoing compliance officer support for asset management companies.
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 Asset Managers Choose Us
We separate manager level obligations from fund level activity clearly at the outset, because treating them as one thing produces either duplicated work or gaps that nobody in the structure actually noticed.
Scope Clearly Separated
We establish which obligations attach to the manager and which do not attach to the funds themselves.
Delegation Properly Overseen
We document what administrators and dealers actually perform, since the obligation remains yours whoever completes the work.
Subscription Sources Checked
We build controls around where investor money originates, including subscriptions arriving from parties other than the investor.
Records Genuinely Accessible
We build arrangements ensuring you can obtain diligence records held elsewhere, because you must produce them when asked.
Asset Managers We Support
We support asset management companies in every province right across the whole of Canada today, from boutique managers running just a single strategy through to large multi fund investment groups.
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.
Asset Management Questions
Clear and direct answers to the questions asset management companies ask most about manager obligations under Canadian anti money laundering law.
Are our funds reporting entities?
Generally not. Obligations typically attach to the registered manager rather than to each pooled vehicle that manager happens to operate.
Who exactly identifies our investors?
The obligation sits with you, though administrators or dealers may perform the work under arrangements you must oversee properly.
Can we delegate that work?
You can delegate the task itself but never the obligation, which means documented oversight rather than simply a service agreement.
Subscription money came from elsewhere
Third party subscription funding needs explaining and recording, since money arriving from somebody other than the investor warrants examination.
How often is review required?
Canada requires an independent effectiveness review every two years, carried out by somebody genuinely independent of the operations being reviewed.