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
Chapter1: Making Economics Decisions
Section: Chapter Questions
Problem 1QTC
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Transcribed Image Text: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
Transcribed Image Text: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
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