Policy
Revised FINTRAC Guideline 6E: Record Keeping and Client Identification for Securities Dealers
Mutual Fund Dealers Association of Canada
Association canadienne des courtiers de fonds mutuels
121 King Street West, Suite 1000, Toronto, Ontario, M5H 3T9
TEL: 416-361-6332 FAX: 416-943-1218 WEBSITE: www.mfda.ca
Contact: Paige
Ward
BULLETIN #0147-P
Director of Policy and Regulatory Affairs
June 24, 2005
Phone: (416) 943-5838
E-mail: [email protected]
MFDA Bulletin
Policy
For Distribution to Relevant Parties within your Firm
Revised FINTRAC Guideline 6E: Record Keeping and Client Identification
for Securities Dealers
The Financial Transactions and Reports Analysis Centre of Canada has released a revised
version of Guideline 6: Record Keeping and Client Identification, aimed at assisting securities
dealers (including mutual fund dealers) in meeting their record keeping and client identification
obligations.
The Guideline can be accessed at http://www.fintrac.gc.ca/publications/guide/guide6/6E_e.asp
The updated version replaces the previous version of Guideline 6: Record Keeping and Client
Identification for Securities Dealers issued in June 2002. It uses plain language to explain the
most common situations under the Proceeds of Crime (Money Laundering) and Terrorist
Financing Act as well as the related Regulations. It is provided as general information only, it
does not constitute legal advice, and is not intended to replace the Act and Regulations.
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