1.0 - Fundamentals of AML/CTF programs

The purpose of the AML/CTF Programs e-learning course is to help you comply with the AML/CTF programs requirements under the AML/CTF Act and AML/CTF Rules. Note that the AML/CTF Act also specifies a range of additional obligations, such as financial transaction reporting and record-keeping obligations, that this e-learning program may not cover.

Sections

1.1 Obligation to have an AML/CTF program under the AML/CTF Act

1.2 AML/CTF program objectives

1.3 ML/TF risk principles framework

1.4 Risk management strategy

1.5 Regulatory risk versus business risk

1.6 The need for a culture of compliance

1.7 Three variations of AML/CTF programs

1.8 AML/CTF program: Part A (general)

1.9 AML/CTF program: Part B (customer identification)

Summary

	AML/CTF risk principles framework (pdf 272kb)
	Compliance culture: concerns and usage scoresheet (pdf 46kb)
	Occupational health & safety management: insights for AML/CTF program management (pdf 53kb)
	Product/service review worksheet (pdf 20kb)

This module is also available in a printable format:

Module 1: Fundamentals of AML/CTF programs (pdf 584kb)

Modules 1-5: AML/CTF programs (pdf 1391kb)