AML Compliance Services for Investment Dealers
Investment dealers are securities dealers under Canadian law, and that brings the full compliance programme obligation along with it. We build compliance designed around trading accounts rather than around conventional banking relationships.
- FINTRAC Registered
- Cross-Border Expertise
- Audit Ready
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Securities Dealer Obligations in Daily Practice
Investment dealers fall squarely within the securities dealer category, which means the full reporting entity obligation applies. That includes an appointed compliance officer, written policies, a documented risk assessment, ongoing training, and the biennial independent effectiveness review. None of that is optional, and all of it is examined against how the business actually operates rather than what the manual says.
Trading accounts behave differently from bank accounts, and monitoring built for one rarely suits the other. Securities move value through purchases and sales rather than through transfers, and unusual activity appears as trading patterns that make no economic sense rather than as suspicious payments. Recognising a client trading in ways that cannot be explained commercially is the discipline this sector genuinely requires.
Compliance Support for Investment Dealers
We deliver securities dealer programme development, account opening diligence procedures, trade pattern monitoring design, beneficial ownership identification, suspicious transaction reporting workflows, independent effectiveness reviews, and ongoing compliance officer support for investment dealing firms.
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 Investment Dealers Choose Us
We build monitoring around trading behaviour rather than around payment behaviour, because unusual securities activity looks nothing at all like the patterns that a banking system is designed to detect.
Built For Trading
We design monitoring around trading patterns rather than payment flows, since securities activity behaves entirely differently from banking.
Economic Sense Tested
We build checks for trading that makes no commercial sense, which is where securities misuse most often becomes visible.
Account Diligence Proper
We build onboarding that establishes beneficial ownership properly, since trading accounts frequently sit behind corporate or nominee structures.
Full Programme Covered
We cover every pillar the regime requires, including the biennial independent review that dealers regularly overlook entirely.
Investment Dealers We Support
We support investment dealers in every province right across the whole of Canada today, from the smallest independent boutique firms through to dealer divisions operating inside much larger financial institutions.
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.
Investment Dealer Questions
Clear and direct answers to the questions investment dealers ask most about securities dealer obligations under Canadian anti money laundering law.
Are investment dealers reporting entities?
Yes. Investment dealers fall within the securities dealer category and carry the full compliance programme obligation under Canadian law.
What does the programme require?
An appointed compliance officer, written policies, a documented risk assessment, ongoing training, and a biennial independent effectiveness review.
How does trade monitoring differ?
Securities move value through buying and selling, so unusual activity appears as trading patterns rather than as suspicious payment flows.
What trading activity raises concern?
Activity that makes no commercial sense, including consistent losses, unusual instrument choices, or trading unrelated to any stated objective.
Who must we identify exactly?
The account holder and the beneficial owners behind it, which matters where accounts sit under corporate or nominee arrangements.