Brokerage Self-Check

FINTRAC Compliance Readiness Check

Canadian brokerages face strict FINTRAC compliance requirements. Take this 3-minute self-check across 5 key areas to see where your files and policies stand.

5 Key Areas

Evaluates client ID verification, staff training, 2-year reviews, deposit tracing, and PEP checks.

Guideline Citations

Direct references to Canadian FINTRAC guidelines and regulatory rules.

Action Plan

Exportable report with clear next steps for your managing broker and compliance team.

Interactive Diagnostic

3-Minute AML Readiness Assessment

Benchmark your firm against the 5 core pillars examined by FINTRAC inspectors. Get your customized Readiness Score instantly.

QUESTION 1 OF 51. Client ID Verification

How does your brokerage verify client identities for non-face-to-face transactions?

FINTRAC rules require either in-person original photo ID verification or an approved digital Dual-Process check.