Which of the following are obligations on mutual fund dealing representatives imposed by The Proceeds of Crime (Money Laundering) and Terrorist Financing Act? O record-keeping of large transactions, account-related information, and other relevant records reporting all financial transactions to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) enhancing public awareness of matters related to money laundering and terrorist financing confirming client identity each time before concluding any transaction What areas are addressed in the Client Relationship Model (CRM) regulation? O relationship disclosure, client communications, and client reporting fraud prevention, relationship disclosure, and proper conduct client communications, regulatory reporting, and fraud prevention ethics, proper conduct, and client reporting

Which of the following are obligations on mutual fund dealing representatives imposed by The Proceeds of Crime (Money Laundering) and Terrorist Financing Act? O record-keeping of large transactions, account-related information, and other relevant records reporting all financial transactions to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) enhancing public awareness of matters related to money laundering and terrorist financing confirming client identity each time before concluding any transaction What areas are addressed in the Client Relationship Model (CRM) regulation? O relationship disclosure, client communications, and client reporting fraud prevention, relationship disclosure, and proper conduct client communications, regulatory reporting, and fraud prevention ethics, proper conduct, and client reporting

ENGR.ECONOMIC ANALYSIS

14th Edition

ISBN:9780190931919

Author:NEWNAN

Publisher:NEWNAN

Chapter1: Making Economics Decisions

Section: Chapter Questions

Problem 1QTC

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