AML Compliance Services for Securities Dealers
Securities dealer is the category that the legislation actually names, and it captures rather more firms than many registrants tend to realise. We establish whether it captures yours before anything else happens.
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The Category Canadian Legislation Actually Names
Canadian anti money laundering law does not list investment dealers, portfolio managers, and fund dealers separately. It names securities dealers as a single reporting entity category, and registration under provincial securities legislation is what generally brings a firm inside it. Registrants sometimes assume the category applies only to those trading for clients, which understates its reach considerably.
Being inside the category means carrying the full programme obligation rather than a lighter version of it. An appointed compliance officer, written policies and procedures, a documented risk assessment, ongoing training, and a biennial independent effectiveness review all apply. Firms that registered years ago for securities purposes and never revisited their anti money laundering position are the ones most frequently caught short.
Compliance Support for Securities Dealers
We deliver reporting entity determinations, full programme development, client identification procedures, trade and account monitoring design, suspicious transaction reporting workflows, independent effectiveness reviews, and ongoing compliance officer support for registered securities dealers across Canada.
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 Securities Dealers Choose Us
We establish whether the securities dealer category genuinely captures your firm and then build precisely what it requires, because registrants frequently discover the obligation years after it first applied to them.
Category Correctly Established
We determine whether the securities dealer definition genuinely reaches your firm, which registrants regularly assume incorrectly in both directions.
Full Programme Built
We cover every pillar the obligation requires, since a partial programme satisfies nobody and is examined as one.
Built For Securities
We design monitoring around trading and account activity rather than borrowing frameworks written for banking payment flows.
Review Cycle Tracked
We track the biennial independent review, which firms registered years ago most commonly overlook entirely until asked.
Securities Dealers We Support
We support registered securities dealers in every single province right across the whole of Canada today, from the very smallest independent registrants through to dealer divisions inside much larger 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.
Securities Dealer Questions
Clear and direct answers to the questions securities dealers ask most about the reporting entity category that Canadian legislation actually names.
Which firms does this capture?
Registrants dealing or advising in securities, which generally includes investment dealers, portfolio managers, and mutual fund dealers among others.
What does the programme require?
An appointed compliance officer, written policies, a documented risk assessment, ongoing training, and a biennial independent effectiveness review.
We registered years ago already
Then the obligation has applied throughout, and firms discovering it late need to establish where they genuinely stand now.
Is securities registration the trigger?
Generally yes. Registration under provincial securities legislation is usually what brings a firm within the reporting entity category.
How often is review required?
Canada requires an independent effectiveness review every two years, carried out by somebody genuinely independent of the operations reviewed.