Securities dealers in Canada are facing increased scrutiny from both FINTRAC and CIRO, with a clear shift toward assessing whether AML programs are actually working in practice. Many firms have policies in place, but gaps often emerge in how those policies are applied, documented, and supported during a regulatory review. This is where issues are identified, particularly around risk assessments, transaction monitoring, and the quality of reporting.

Platino Consulting works with securities dealers to address these gaps in a practical and defensible way. Whether your firm requires an AML effectiveness review, updated training, or a full framework refresh, the focus is on ensuring your program aligns with regulatory expectations and can withstand scrutiny. The objective is not just compliance on paper, but a program that operates effectively day to day and stands up during a FINTRAC or CIRO examination.

Contact Platino Consulting for a consultation on how we can support your compliance needs.