FINTRAC Compliance Checklist

1. Open the Fintrac form from within the Deal on the Checklist Tab

Double-click the red icon

2. Client Identification

• Enter details from FINTRAC form:
  • Occupation
  • Date of Birth
  • ID Source, Place of Issue, Number, Expiry Date
• Mark Identification Checked after entry.

3. Politically Exposed Person (PEP) / International Org Head

• Check Yes/No based on paperwork.

4. Terrorist & Money Laundering Lists

• Search client name in Terrorist List → Confirm No Results.
• Search client name in Money Laundering List → Confirm No Results.
• Mark both as checked.

5. Review Client History

• Open client contact → FINTRAC tab.
• Confirm 1:1 ratio between FINTRAC entries and deals.
• Note exceptions (e.g., Power of Attorney, Executors).

6. Memo & Risk Level

• Add memo if needed (e.g., executor details).
• Assign risk level:
  • Low (no reason needed)
  • Medium/High (provide justification)

Document Linking

• Attach FINTRAC document to client record.

7. Click "Save & Close"