GRI

Argosy Securities Inc.

Enforcement Anti-money laundering Sanctions & Fines
Date: 13th Feb, 2025 Source: Financial Transactions and Reports Analysis Centre of Canada Country: Canada Original Source

Brief

Administrative monetary penalty imposed on Argosy Securities Inc. by FINTRAC for committing 3 violations related to anti-money laundering and terrorist financing regulations. The violations include failure to develop and apply written compliance policies and procedures, assess and document risk referred to in subsection 9.6(2) of the Act, and institute and document a prescribed review of policies and procedures, risk assessment, and training program. The administrative monetary penalty has been paid in full.

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Financial Transactions and Reports Analysis Centre of Canada

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