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Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations (SOR/2001-317)

Regulations are current to 2024-04-01 and last amended on 2023-09-26. Previous Versions

Table of Contents

Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations

SOR/2001-317

PROCEEDS OF CRIME (MONEY LAUNDERING) AND TERRORIST FINANCING ACT

Registration 2001-08-28

Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations

P.C. 2001-1500 2001-08-28

Whereas, pursuant to subsection 73(2) of the Proceeds of Crime (Money Laundering) ActFootnote a, a copy of the proposed Proceeds of Crime (Money Laundering) Suspicious Transaction Reporting Regulations was published, substantially in the form set out in the annexed Regulations, as part of the Proceeds of Crime (Money Laundering) Regulations, 2000 in the Canada Gazette, Part I, on February 17, 2001 and a reasonable opportunity was thereby given to interested persons to make representations to the Minister of Finance with respect to the proposed Regulations;

Therefore, Her Excellency the Governor General in Council, on the recommendation of the Minister of Finance, pursuant to section 73 of the Proceeds of Crime (Money Laundering) ActFootnote a, hereby makes the annexed Proceeds of Crime (Money Laundering) Suspicious Transaction Reporting Regulations.

Interpretation

  • 1 (1) [Repealed, SOR/2016-153, s. 1]

  • (2) The following definitions apply in these Regulations.

    accountant

    accountant[Repealed, SOR/2019-240, s. 1]

    accounting firm

    accounting firm[Repealed, SOR/2019-240, s. 1]

    Act

    Act means the Proceeds of Crime (Money Laundering) and Terrorist Financing Act. (Loi)

    British Columbia notary corporation

    British Columbia notary corporation[Repealed, SOR/2019-240, s. 1]

    British Columbia notary public

    British Columbia notary public[Repealed, SOR/2019-240, s. 1]

    cash

    cash means coins referred to in section 7 of the Currency Act, notes issued by the Bank of Canada under the Bank of Canada Act that are intended for circulation in Canada or coins or bank notes of countries other than Canada. (espèces)

    cash

    cash or currency[Repealed, SOR/2002-185, s. 2]

    casino

    casino means a government, organization, board or operator that is referred to in any of paragraphs 5(k) to (k.3) of the Act. (casino)

    CICA Handbook

    CICA Handbook[Repealed, SOR/2019-240, s. 1]

    credit union central

    credit union central[Repealed, SOR/2019-240, s. 1]

    dealer in precious metals and stones

    dealer in precious metals and stones[Repealed, SOR/2019-240, s. 1]

    electronic funds transfer

    electronic funds transfer[Repealed, SOR/2019-240, s. 1]

    fiat currency

    fiat currency means a currency that is issued by a country and is designated as legal tender in that country. (monnaie fiduciaire)

    financial entity

    financial entity[Repealed, SOR/2019-240, s. 1]

    financial services cooperative

    financial services cooperative[Repealed, SOR/2019-240, s. 1]

    funds

    funds means

    • (a) cash and other fiat currencies, and securities, negotiable instruments or other financial instruments that indicate a title or right to or interest in them; or

    • (b) a private key of a cryptographic system that enables a person or entity to have access to a fiat currency other than cash.

    For greater certainty, it does not include virtual currency. (fonds)

    jewellery

    jewellery[Repealed, SOR/2019-240, s. 1]

    legal firm

    legal firm[Repealed, SOR/2003-102, s. 1]

    life insurance broker or agent

    life insurance broker or agent[Repealed, SOR/2019-240, s. 1]

    listed person

    listed person has the same meaning as in section 1 of the Regulations Implementing the United Nations Resolutions on the Suppression of Terrorism. (personne inscrite)

    money services business

    money services business[Repealed, SOR/2016-153, s. 1]

    precious metal

    precious metal[Repealed, SOR/2019-240, s. 1]

    precious stones

    precious stones[Repealed, SOR/2019-240, s. 1]

    real estate broker or sales representative

    real estate broker or sales representative[Repealed, SOR/2019-240, s. 1]

    real estate developer

    real estate developer[Repealed, SOR/2019-240, s. 1]

    SWIFT

    SWIFT[Repealed, SOR/2019-240, s. 1]

    trust company

    trust company[Repealed, SOR/2019-240, s. 1]

    virtual currency

    virtual currency means

    • (a) a digital representation of value that can be used for payment or investment purposes that is not a fiat currency and that can be readily exchanged for funds or for another virtual currency that can be readily exchanged for funds; or

    • (b) a private key of a cryptographic system that enables a person or entity to have access to a digital representation of value referred to in paragraph (a). (monnaie virtuelle)

  • SOR/2002-185, s. 2
  • SOR/2003-102, s. 1
  • SOR/2003-358, s. 1
  • SOR/2007-122, s. 1
  • SOR/2007-293, s. 1
  • SOR/2008-21, s. 1
  • SOR/2009-265, s. 1
  • SOR/2016-153, s. 1
  • SOR/2019-240, s. 1
  • SOR/2020-112, s. 1
Previous Version

1.1 If a registered charity, as defined in subsection 248(1) of the Income Tax Act, conducts and manages, in a permanent establishment of a casino, a lottery scheme that includes games of roulette or card games for a period of not more than two consecutive days at a time and, in doing so, acts under the supervision of the government of a province that is referred to in paragraph 5(k) of the Act, or of an organization that is referred to in paragraph 5(k.2) of the Act, that conducts and manages such a lottery scheme in the same establishment, the lottery scheme that is conducted and managed by the registered charity is considered to be conducted and managed by the supervising government or organization.

  • SOR/2003-358, s. 2
  • SOR/2016-153, s. 2
Previous Version

1.2 [Repealed, SOR/2019-240, s. 2]

Previous Version

2 [Repealed, SOR/2019-240, s. 2]

Previous Version

2.1 [Repealed, SOR/2019-240, s. 2]

Previous Version

3 [Repealed, SOR/2019-240, s. 2]

Previous Version

4 [Repealed, SOR/2019-240, s. 2]

Previous Version

5 [Repealed, SOR/2019-240, s. 2]

Previous Version

6 [Repealed, SOR/2019-240, s. 2]

Previous Version

7 [Repealed, SOR/2019-240, s. 2]

Previous Version

7.1 [Repealed, SOR/2019-240, s. 2]

Previous Version

8 [Repealed, SOR/2019-240, s. 2]

Previous Version

Report Under Section 7 of the Act

[
  • SOR/2019-240, s. 2
]

  • 9 (1) Subject to section 11, a report made under section 7 of the Act concerning a financial transaction or attempted financial transaction in respect of which there are reasonable grounds to suspect that the transaction or attempted transaction is related to the commission of a money laundering offence or terrorist activity financing offence shall contain the information set out in Schedule 1.

  • (2) The person or entity shall send the report to the Centre as soon as practicable after they have taken measures that enable them to establish that there are reasonable grounds to suspect that the transaction or attempted transaction is related to the commission of a money laundering offence or a terrorist activity financing offence.

Previous Version

Report Under Section 7.1 of the Act

[
  • SOR/2007-122, s. 7
]

  • 10 (1) Subject to section 11, a report made under section 7.1 of the Act shall contain the information set out in Schedule 2.

  • (2) The person or entity shall send the report to the Centre immediately.

Previous Version

Reports

  • 11 (1) The requirement to report information set out in Schedule 1 or 2 does not apply in respect of information set out in an item of that Schedule that is not marked with an asterisk if, after taking reasonable measures to do so, the person or entity is unable to obtain the information.

  • (2) In the case of an attempted transaction, the requirement to report information set out in Schedule 1 does not apply in respect of information set out in an item of that Schedule that is marked with an asterisk if, after taking reasonable measures to do so, the person or entity is unable to obtain the information.

  • (3) The requirement to report information set out in Schedule 1 or 2 does not apply if the person or entity believes that taking the reasonable measures to obtain the information would inform a person or entity that conducts or attempts or proposes to conduct a transaction with them that the transaction and related information will be reported under section 7 or 7.1 of the Act.

  • (4) For greater certainty, although items in Schedules 1 and 2 are described in the singular, a person or entity shall report all known information that falls within an item.

  • (5) For greater certainty, a person or entity is not required to report information set out in any item of Schedule 1 or 2 that is not applicable in the circumstances.

Previous Version

12 A report shall be sent electronically in accordance with guidelines that are prepared by the Centre, if the sender has the technical capabilities to do so. If the sender does not have the technical capabilities to send the report electronically, the report shall be sent in paper format in accordance with guidelines that are prepared by the Centre.

Previous Version

  • 12.1 (1) A person or entity that sends a report to the Centre shall keep a copy of the report for a period of at least five years after the day on which the report is sent.

  • (2) The copy of the report may be kept in a machine-readable or electronic form if a paper copy can be readily produced from it.

  • (3) For greater certainty, if the copy is the property of a person’s employer or of a person or entity with which the person is in a contractual relationship, the person is not required to keep it after the end of their employment or the contractual relationship.

Previous Version

12.2 [Repealed, SOR/2019-240, s. 4]

Previous Version

12.3 [Repealed, SOR/2019-240, s. 4]

Previous Version

Designated Information

[
  • SOR/2019-240, s. 5(E)
]

13 The information that is prescribed as designated information for the purposes of paragraphs 55(7)(f), 55.1(3)(f) and 56.1(5)(f) of the Act is

  • (a) the following information concerning any person or entity that is involved in the transaction, attempted transaction, importation or exportation or any person or entity acting on their behalf:

    • (i) their address, telephone number and email address,

    • (ii) in the case of a person, their alias, date of birth and citizenship,

    • (iii) in the case of a person, the number of an identification document issued to them by the federal government or a provincial government or by a foreign government that is not a municipal government, other than a document that contains their social insurance number, the issuing authority and, if available, the jurisdiction and country of issue and expiry date of the identification document,

    • (iii.1) [Repealed, SOR/2019-240, s. 6]

    • (iv) in the case of an entity that is involved in the transaction, attempted transaction, importation or exportation, the date of its registration or incorporation, its registration or incorporation number and the jurisdiction and country of issue of that number,

    • (v) [Repealed, SOR/2019-240, s. 6]

    • (vi) [Repealed, SOR/2019-240, s. 6]

    • (vii) the name and address of any person or entity on whose behalf the financial transaction or attempted financial transaction is conducted or on whose behalf the importation or exportation is carried out, and

    • (viii) the telephone number of the place of business where the financial transaction or attempted financial transaction occurred;

    • (ix) [Repealed, SOR/2019-240, s. 6]

  • (b) in the case of a financial transaction or attempted financial transaction, the following information:

    • (i) every account number and transit number that is involved,

    • (ii) the name of each account holder,

    • (iii) the number of the transaction or attempted transaction and every other reference number that is connected to the transaction or attempted transaction,

    • (iv) the time of the transaction or attempted transaction,

    • (v) the type of transaction or attempted transaction,

    • (vi) the names of the parties to the transaction or attempted transaction,

    • (vii) the type of account,

    • (viii) the name and address of each person who is authorized to act in respect of the account, and

    • (ix) the type of report, as listed in paragraph 54(1)(a) of the Act, from which the information disclosed is compiled; and

  • (c) in the case of an importation or exportation of fiat currency or monetary instruments, the country from which they are being imported or the country to which they are being exported.

Previous Version

SCHEDULE 1(Subsection 9(1) and section 11)Suspicious Transaction or Attempted Transaction Report

PART A

Information with Respect to Reporting Person or Entity and Place of Business Where Transaction Is Conducted or Attempted

  • 1* 
    Person’s or entity’s name
  • 2* 
    Type of person or entity, as described in any of paragraphs 5(a) to (h.1), (k) and (m) of the Act, or, if person or entity is referred to in paragraph 5(i), (j) or (l) of the Act, type of prescribed business, profession or activity referred to in that paragraph
  • 3* 
    Identification number assigned to person or entity by Centre
  • 4* 
    Number that identifies place of business
  • 5* 
    Address of place of business
  • 6* 
    Contact person’s name
  • 7 
    Contact person’s email address
  • 8* 
    Contact person’s telephone number

PART B

Information with Respect to Transaction or Attempted Transaction

  • 1* 
    Date of transaction or attempted transaction or night deposit indicator
  • 2 
    Time of transaction or attempted transaction
  • 3 
    Posting date, if different from date of transaction or attempted transaction
  • 4* 
    Type and amount of funds or other assets involved, other than virtual currency
  • 5* 
    Type and amount of each fiat currency or virtual currency involved
  • 6* 
    Method by which transaction or attempted transaction conducted
  • 7* 
    Exchange rates used
  • 8* 
    In the case of transaction or attempted transaction involving virtual currency, transaction identifiers, including sending and receiving addresses
  • 9* 
    Indication of whether transaction completed
  • 10* 
    If transaction not completed, reason why not completed
  • 11 
    Purpose of transaction or attempted transaction
  • 12 
    Source of funds or virtual currency involved
  • 13 
    Name of every person or entity that is source of funds or virtual currency involved and their account number or policy number or, if no account number or policy number, identifying number
  • 14* 
    Following details of remittance of, or in exchange for, funds or virtual currency received:
    • (a) 
      method of remittance
    • (b) 
      if remittance is in funds, type and amount of each type of funds involved
    • (c) 
      if remittance is in virtual currency, type and amount of each virtual currency involved
    • (d) 
      if remittance is not in funds or virtual currency, type of remittance and its value, if different from amount of funds or virtual currency received
    • (e) 
      name of every person or entity involved and their account number or policy number or, if no account number or policy number, identifying number

PART C

Account and Reference Number Information

  • 1* 
    Every account number and other equivalent reference number connected to transaction or attempted transaction
  • 2* 
    Type of account
  • 3* 
    Branch number, institution number and similar numbers connected to account or reference number
  • 4* 
    Name of each account holder
  • 5* 
    Type of fiat currency or virtual currency of account
  • 6 
    Date account opened
  • 7 
    Date account closed
  • 8* 
    Status of account

PART D

Information with Respect to Person or Entity That Conducts or Attempts To Conduct Transaction

  • 1 
    Person’s or entity’s name
  • 2 
    Person’s or entity’s address
  • 3 
    Person’s or entity’s email address
  • 4 
    Person’s or entity’s telephone number
  • 5 
    Person’s or entity’s URL
  • 6 
    Nature of person’s or entity’s principal business or their occupation
  • 7* 
    Identification number assigned to person or entity by reporting person or entity
  • 8 
    Type of document or other information used to identify person or entity, or to verify their identity under the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations, and number of document or number associated with information
  • 9 
    Jurisdiction and country of issue of document or other information
  • 10 
    Type of device used by person or entity that conducts or attempts to conduct transaction online
  • 11 
    Number that identifies device
  • 12 
    Internet Protocol address used by device
  • 13 
    Person’s or entity’s user name
  • 14 
    Date and time of person’s or entity’s online session in which transaction conducted or attempted
  • 15 
    In the case of a person,
    • (a) 
      their alias
    • (b) 
      their date of birth
    • (c) 
      their country of residence
    • (d) 
      their citizenship
    • (e) 
      their employer’s name
    • (f) 
      their employer’s business address
    • (g) 
      their employer’s business telephone number
  • 16 
    In the case of an entity,
    • (a) 
      name of each person — up to three — who is authorized to bind entity or to act with respect to account
    • (b) 
      its registration or incorporation number and jurisdiction and country of issue of that number
    • (c) 
      information respecting ownership, control and structure of entity
    • (d) 
      name of each person who directly or indirectly owns or controls 25% or more of entity
    • (e) 
      if entity is a corporation,
      • (i) 
        name of each director
      • (ii) 
        address of each director
      • (iii) 
        telephone number of each director
      • (iv) 
        name of each person who directly or indirectly owns or controls 25% or more of shares of corporation
    • (f) 
      if entity is a trust
      • (i) 
        name of each trustee
      • (ii) 
        address of each trustee
      • (iii) 
        telephone number of each trustee
      • (iv) 
        name of each settlor of trust
      • (v) 
        address of each settlor of trust
      • (vi) 
        telephone number of each settlor of trust
      • (vii) 
        name of each beneficiary of trust, other than widely held or publicly traded trust
      • (viii) 
        address of each beneficiary of trust, other than widely held or publicly traded trust
      • (ix) 
        telephone number of each beneficiary of trust, other than widely held or publicly traded trust
      • (x) 
        name of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xi) 
        address of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xii) 
        telephone number of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust

PART E

Information with Respect to Person or Entity on Whose Behalf Transaction Is Conducted or Attempted

  • 1 
    Person’s or entity’s name
  • 2 
    Person’s or entity’s address
  • 3 
    Person’s or entity’s email address
  • 4 
    Person’s or entity’s telephone number
  • 5 
    Person’s or entity’s URL
  • 6 
    Nature of person’s or entity’s principal business or their occupation
  • 7 
    Identification number assigned to person or entity by reporting person or entity
  • 8 
    Type of document or other information used to identify person or entity, or to verify their identity under the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations, and number of document or number associated with information
  • 9 
    Jurisdiction and country of issue of document or other information
  • 10 
    Relationship of person or entity to person or entity conducting or attempting to conduct transaction
  • 11 
    In the case of a person,
    • (a) 
      their alias
    • (b) 
      their date of birth
    • (c) 
      their country of residence
    • (d) 
      their citizenship
    • (e) 
      their employer’s name
    • (f) 
      their employer’s business address
    • (g) 
      their employer’s business telephone number
  • 12 
    In the case of an entity,
    • (a) 
      name of each person — up to three — who is authorized to bind entity or to act with respect to account
    • (b) 
      its registration or incorporation number and jurisdiction and country of issue of that number
    • (c) 
      information respecting ownership, control and structure of entity
    • (d) 
      name of each person who directly or indirectly owns or controls 25% or more of entity
    • (e) 
      if entity is a corporation,
      • (i) 
        name of each director
      • (ii) 
        address of each director
      • (iii) 
        telephone number of each director
      • (iv) 
        name of each person who directly or indirectly owns or controls 25% or more of shares of corporation
    • (f) 
      if entity is a trust
      • (i) 
        name of each trustee
      • (ii) 
        address of each trustee
      • (iii) 
        telephone number of each trustee
      • (iv) 
        name of each settlor of trust
      • (v) 
        address of each settlor of trust
      • (vi) 
        telephone number of each settlor of trust
      • (vii) 
        name of each beneficiary of trust, other than widely held or publicly traded trust
      • (viii) 
        address of each beneficiary of trust, other than widely held or publicly traded trust
      • (ix) 
        telephone number of each beneficiary of trust, other than widely held or publicly traded trust
      • (x) 
        name of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xi) 
        address of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xii) 
        telephone number of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust

PART F

Information with Respect to Beneficiary

  • 1* 
    Beneficiary’s name
  • 2 
    Beneficiary’s address
  • 3 
    Beneficiary’s email address
  • 4 
    Beneficiary’s telephone number
  • 5 
    Nature of beneficiary’s principal business or their occupation
  • 6 
    Identification number assigned to beneficiary by reporting person or entity
  • 7 
    Type of document or other information used to identify beneficiary, or to verify their identity, and number of document or number associated with information
  • 8 
    Jurisdiction and country of issue of document or other information
  • 9 
    User name of beneficiary that receives payment online
  • 10 
    If beneficiary is a person,
    • (a) 
      their alias
    • (b) 
      their date of birth
    • (c) 
      their country of residence
    • (d) 
      their employer’s name
  • 11 
    If beneficiary is an entity,
    • (a) 
      name of each person — up to three — who is authorized to bind entity or to act with respect to account
    • (b) 
      its registration or incorporation number and jurisdiction and country of issue of that number

PART G

Description of Suspicious Activity

  • 1* 
    Detailed description of grounds to suspect that transaction or attempted transaction is related to commission or attempted commission of money laundering offence or terrorist activity financing offence

PART H

Action Taken

  • 1* 
    Any other action taken as a result of suspicion
Previous Version

SCHEDULE 2(Subsections 10(1) and 11(1) and (3) to (5))Terrorist Group or Listed Person Property Report

PART A

Information With Respect to Reporting Person or Entity and Place of Business Where Transaction Is Conducted or Proposed To Be Conducted

  • 1* 
    Person’s or entity’s name
  • 2* 
    Type of person or entity, as described in any of paragraphs 5(a) to (h.1) and (k) of the Act, or, if person or entity is referred to in paragraph 5(i), (j) or (l) of the Act, type of prescribed business, profession or activity referred to in that paragraph
  • 3 
    Identification number assigned to person or entity by Centre
  • 4* 
    Number that identifies place of business
  • 5* 
    Address of place of business
  • 6* 
    Contact person’s name
  • 7 
    Contact person’s email address
  • 8* 
    Contact person’s telephone number

PART B

Reason for Filing Report

  • 1* 
    Reason for filing report
  • 2* 
    Indication of how reporting person or entity came to know that property in question owned or controlled by or on behalf of terrorist group or listed person
  • 3* 
    Indication of how reporting person or entity identified terrorist group or listed person
  • 4* 
    Name of terrorist group or listed person
  • 5 
    Address of terrorist group or listed person
  • 6 
    Telephone number of terrorist group or listed person
  • 7* 
    Name of person or entity that owns or controls the property on behalf of terrorist group or listed person
  • 8* 
    Person’s or entity’s address
  • 9 
    Person’s or entity’s email address
  • 10 
    Person’s or entity’s telephone number
  • 11 
    Person’s or entity’s URL

PART C

Information with Respect to Property

  • 1* 
    Type of property
  • 2* 
    Means used to identify property and every number of, or associated with, that property
  • 3 
    [Repealed, SOR/2019-240, s. 20]
  • 4* 
    Approximate or actual value of property
  • 5 
    Description of property

PART D

Information with Respect to Transaction or Proposed Transaction

  • 1* 
    Date of transaction or proposed transaction or night deposit indicator
  • 2* 
    Time of transaction or proposed transaction
  • 3 
    Posting date, if different from date of transaction or proposed transaction
  • 4* 
    Type and amount or value of funds or other assets involved, other than virtual currency
  • 5* 
    Type and amount of each fiat currency or virtual currency involved
  • 6* 
    Method by which transaction conducted or proposed to be conducted
  • 7 
    Exchange rates used
  • 8* 
    In the case of a transaction or proposed transaction involving virtual currency, transaction identifiers, including sending and receiving addresses
  • 9 
    Purpose of transaction or proposed transaction
  • 10 
    Source of funds or virtual currency involved
  • 11* 
    Name of every person or entity that is source of funds or virtual currency involved and their account number or policy number or, if no account number or policy number, identifying number
  • 12* 
    Following details of remittance of, or in exchange for, funds, virtual currency or other assets received:
    • (a) 
      method of remittance
    • (b) 
      if remittance is in funds, type and amount of each type of funds involved
    • (c) 
      if remittance is in virtual currency, type and amount of each virtual currency involved
    • (d) 
      if remittance is not in funds or virtual currency, type of remittance and its value, if different from amount of funds, virtual currency or other assets received
    • (e) 
      name of every person or entity involved and their account number or policy number or, if no account number or policy number, identifying number

PART E

Account and Reference Number Information

  • 1* 
    Every account number or other equivalent reference number connected to transaction or proposed transaction
  • 2* 
    Type of account
  • 3* 
    Branch number, institution number and similar numbers connected to account or reference number
  • 4* 
    Name of each account holder
  • 5* 
    Type of fiat currency or virtual currency of account
  • 6 
    Date account opened
  • 7 
    Date account closed
  • 8* 
    Status of account

PART F

Information with Respect to Person or Entity That Conducts or Proposes To Conduct Transaction

  • 1 
    Person’s or entity’s name
  • 2 
    Person’s or entity’s address
  • 3 
    Person’s or entity’s email address
  • 4 
    Person’s or entity’s telephone number
  • 5 
    Person’s or entity’s URL
  • 6 
    Nature of person’s or entity’s principal business or their occupation
  • 7 
    Identification number assigned to person or entity by reporting person or entity
  • 8 
    Type of document or other information used to identify person or entity, or to verify their identity under the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations, and number of document or number associated with information
  • 9 
    Jurisdiction and country of issue of document or other information
  • 10 
    Type of device used by person or entity that conducts transaction online
  • 11 
    Number that identifies device
  • 12 
    Internet Protocol address used by device
  • 13 
    Person’s or entity’s user name
  • 14 
    Date and time of person’s or entity’s online session in which transaction is conducted
  • 15 
    In the case of a person,
    • (a) 
      their alias
    • (b) 
      their date of birth
    • (c) 
      their country of residence
    • (d) 
      their citizenship
    • (e) 
      their employer’s name
    • (f) 
      their employer’s business address
    • (g) 
      their employer’s business telephone number
  • 16 
    In the case of an entity,
    • (a) 
      name of each person — up to three — who is authorized to bind entity or to act with respect to account
    • (b) 
      its registration or incorporation number and jurisdiction and country of issue of that number
    • (c) 
      information respecting ownership, control and structure of entity
    • (d) 
      name of each person who directly or indirectly owns or controls 25% or more of entity
    • (e) 
      if entity is a corporation,
      • (i) 
        name of each director
      • (ii) 
        address of each director
      • (iii) 
        telephone number of each director
      • (iv) 
        name of each person who directly or indirectly owns or controls 25% or more of shares of corporation
    • (f) 
      if entity is a trust
      • (i) 
        name of each trustee
      • (ii) 
        address of each trustee
      • (iii) 
        telephone number of each trustee
      • (iv) 
        name of each settlor of trust
      • (v) 
        address of each settlor of trust
      • (vi) 
        telephone number of each settlor of trust
      • (vii) 
        name of each beneficiary of trust, other than widely held or publicly traded trust
      • (viii) 
        address of each beneficiary of trust, other than widely held or publicly traded trust
      • (ix) 
        telephone number of each beneficiary of trust, other than widely held or publicly traded trust
      • (x) 
        name of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xi) 
        address of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xii) 
        telephone number of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust

PART G

Information with Respect to Person or Entity on Whose Behalf Transaction Is Conducted or Proposed To Be Conducted

  • 1 
    Person’s or entity’s name
  • 2 
    Person’s or entity’s address
  • 3 
    Person’s or entity’s email address
  • 4 
    Person’s or entity’s telephone number
  • 5 
    Person’s or entity’s URL
  • 6 
    Nature of person’s or entity’s principal business or their occupation
  • 7 
    Identification number assigned to person or entity by reporting person or entity
  • 8 
    Type of document or other information used to identify person or entity, or to verify their identity under the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations, and number of document or number associated with information
  • 9 
    Jurisdiction and country of issue of document or other information
  • 10 
    Relationship of person or entity to person or entity conducting or proposing to conduct transaction
  • 11 
    In the case of a person,
    • (a) 
      their alias
    • (b) 
      their date of birth
    • (c) 
      their country of residence
    • (d) 
      their citizenship
    • (e) 
      their employer’s name
    • (f) 
      their employer’s business address
    • (g) 
      their employer’s business telephone number
  • 12 
    In the case of an entity,
    • (a) 
      name of each person — up to three — who is authorized to bind entity or to act with respect to account
    • (b) 
      its registration or incorporation number and jurisdiction and country of issue of that number
    • (c) 
      information respecting ownership, control and structure of entity
    • (d) 
      name of each person who directly or indirectly owns or controls 25% or more of entity
    • (e) 
      if entity is a corporation,
      • (i) 
        name of each director
      • (ii) 
        address of each director
      • (iii) 
        telephone number of each director
      • (iv) 
        name of each person who directly or indirectly owns or controls 25% or more of shares of corporation
    • (f) 
      if entity is a trust,
      • (i) 
        name of each trustee
      • (ii) 
        address of each trustee
      • (iii) 
        telephone number of each trustee
      • (iv) 
        name of each settlor of trust
      • (v) 
        address of each settlor of trust
      • (vi) 
        telephone number of each settlor of trust
      • (vii) 
        name of each beneficiary of trust, other than widely held or publicly traded trust
      • (viii) 
        address of each beneficiary of trust, other than widely held or publicly traded trust
      • (ix) 
        telephone number of each beneficiary of trust, other than widely held or publicly traded trust
      • (x) 
        name of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xi) 
        address of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust
      • (xii) 
        telephone number of each person who directly or indirectly owns or controls 25% or more of units of widely held or publicly traded trust

PART H[Repealed, SOR/2019-240, s. 21]

Previous Version

Table of Contents

AMENDMENTS NOT IN FORCE

  • — SOR/2023-193, s. 2

    • 2 Item 13 of Part B of Schedule 1 to the Regulations is replaced by the following:

      • 13 
        Name of every person or entity that is source of funds or virtual currency involved and their account number or policy number and name of the person or entity with which the account or policy is held or, if no account number or policy number, identifying number and name of the person or entity that issued it

  • — SOR/2023-193, s. 3

    • 3 Paragraph 14(e) of Part B of Schedule 1 to the Regulations is replaced by the following:

      • (e) 
        name of every person or entity involved and their account number or policy number and name of the person or entity with which the account or policy is held or, if no account number or policy number, identifying number and name of the person or entity that issued it

  • — SOR/2023-193, s. 4

    • 4 Part C of Schedule 1 to the Regulations is amended by adding the following after item 1:

      • 1.1* 
        Name of person or entity with which the account is held or of person or entity that issued the reference number

  • — SOR/2023-193, s. 5

    • 5 Item 11 of Part D of Schedule 2 to the Regulations is replaced by the following:

      • 11* 
        Name of every person or entity that is source of funds or virtual currency involved and their account number or policy number and name of the person or entity with which the account or policy is held or, if no account number or policy number, identifying number and name of the person or entity that issued it

  • — SOR/2023-193, s. 6

    • 6 Paragraph 12(e) of Part D of Schedule 2 to the Regulations is replaced by the following:

      • (e) 
        name of every person or entity involved and their account number or policy number and name of the person or entity with which the account or policy is held or, if no account number or policy number, identifying number and name of the person or entity that issued it

  • — SOR/2023-193, s. 7

    • 7 Part E of Schedule 2 to the Regulations is amended by adding the following after item 1:

      • 1.1* 
        Name of person or entity with which the account is held or of person or entity that issued the reference number

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