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​​Compliance Audits

Thorough assessment of your current compliance program to identify gaps and document areas of improvement.

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Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) Effectiveness Reviews

Conduct an independent two-year effectiveness review of your firm’s AML & ATF oversight program to adhere to FINTRAC requirements.

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Policies & Procedures Development

Review and update customized policies and procedures tailored to your business operations to align with Canadian regulations and industry best practices.

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Compliance Supervision

Development of a disciplined compliance oversight framework to document your ongoing regulatory requirements based upon your firm's registration categories.

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Know-Your-Product (KYP) Due Diligence

Complete comprehensive KYP due diligence analysis on your firm's products to adhere to regulatory requirements.

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Training & Education

Empowering your team with the knowledge they need to navigate complex regulatory environments confidently.

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