Anti-Money Laundering
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Financial Services

Background

Many different types of companies are considered to be under the financial services umbrella, including banks, credit unions, caisses populaires, financial services cooperatives, trust companies, loan companies and agents of the Crown that accept deposit liabilities.  

In addition to a reporting and regulator relationship with the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC), federally regulated companies are also regulated by the Office of the Superintendent of Financial Institutions Canada (OSFI).  Provincially regulated credit unions and caisses populaires will have additional provincial regulators.

As an organization that collects personal information (PI), The Office of the Privacy Commissioner of Canada will govern your practices regarding personal information. Industry members may also be subject to additional provincial level requirements, depending on where you’re doing business.

How Outlier Can Help

Because financial services companies are large, and often diversified in their product offerings, Outlier offers custom Compliance program component design. The documentation that we create is intended to work with your existing compliance regime and business practices.

In all of our engagements, we look for ways to streamline your existing practices and empower business, while mitigating your regulatory risk.  Our consultants have completed work for both provincially and federally regulated financial services companies that includes:

We also offer customized training packages that incorporate your practices including specialized training for:

If you have been contacted by a regulator and require immediate assistance, please contact us.


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