Financial Crime Compliance for Securities Exchanges
Exchanges are generally not reporting entities under Canadian law at all, which quite regularly surprises people here. Sanctions obligations, listing integrity, and member oversight all still apply to you in full though.
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Not a Reporting Entity, Still Genuinely Exposed
Canadian anti money laundering law names securities dealers as the reporting entities. It does not name exchanges anywhere, which means the programme obligations applying to your members generally do not apply to you in quite the same way. That surprises people, and it occasionally leads exchanges to build compliance frameworks answering a question nobody actually asked them.
Exposure arrives differently here. Sanctions obligations sit under separate legislation and apply regardless. Listing decisions bring issuers whose ownership and funding deserve examination before admission. Members conduct the trading, so their standards become your market’s integrity, and surveillance for manipulation and abuse is the discipline that genuinely belongs to an exchange rather than to anybody else in the chain.
Compliance Support for Securities Exchanges
We deliver regulatory scope determinations, sanctions screening frameworks, listing and issuer due diligence procedures, member oversight standards, market surveillance design, financial crime risk assessment, and ongoing compliance support for securities exchanges operating in 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 Exchanges Choose Us
We build only what genuinely applies to an exchange rather than importing a dealer programme wholesale, because obligations you do not carry consume resources without ever protecting anything at all.
Scope Honestly Established
We establish which obligations genuinely reach an exchange, rather than importing programme requirements that apply to your members instead.
Sanctions Always Apply
We build sanctions screening regardless of reporting entity status, since those obligations arise under entirely separate Canadian legislation.
Issuers Properly Examined
We build listing diligence covering issuer ownership and funding, because admission decisions shape your market for years afterwards.
Members Held Consistently
We build member standards and oversight, since the conduct of your members becomes your market integrity in practice.
Exchanges We Support in Canada
We support securities exchanges and marketplaces operating anywhere in Canada today, alongside foreign exchanges that have Canadian listings, Canadian members, or any operations being conducted from within the country itself.
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.
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Schedule a Free Consultation
Whether you’re starting a new MSB or need ongoing AML support, our team responds within one business day.
Securities Exchange Questions
Clear and direct answers to the questions securities exchanges ask most about which financial crime obligations genuinely reach them here.
Are exchanges actually reporting entities?
Generally not. The legislation names securities dealers rather than exchanges, so the full programme obligation usually applies to your members.
Do sanctions rules apply anyway?
Yes. Sanctions obligations arise under separate legislation entirely and reach exchanges regardless of anti money laundering reporting entity status.
What about our listing decisions?
Issuer ownership and funding deserve examination before admission, since a listing shapes your market long after the decision was made.
Are we responsible for members?
Not for their own obligations, though member conduct becomes your market integrity, which makes standards and oversight genuinely worthwhile.
What should our surveillance cover?
Manipulation, abusive trading, and patterns suggesting a member or issuer is being used for purposes other than genuine investment.