Proceeds of Crime (Money Laundering) and Terrorist Financing Registration Regulations

Proceeds of Crime (Money Laundering) and Terrorist Financing Registration Regulations Her Excellency the Governor General in Council, on the recommendation of the Minister of Finance, pursuant to subsection 73(1)a of the Proceeds of Crime (Money Laundering) and Terrorist Financing Actb, hereby makes the annexed Proceeds of Crime (Money Laundering) and Terrorist Financing Registration Regulations. S.C. 2006, c. 12, s. 39 S.C. 2000, c. 17; S.C. 2001, c. 41, s. 48 The following definitions apply in these Regulations. Act means the Proceeds of Crime (Money Laundering) and Terrorist Financing Act. (Loi) financial entity has the same meaning as in subsection 1(2) of the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations. (entité financière) foreign money services business means a person or entity referred to in paragraph 5(h.1) of the Act. (entreprise de services monétaires étrangère) money services business means a person or entity referred to in paragraph 5(h) of the Act. (entreprise de services monétaires) For the purposes of subsection 54.1(3) of the Act, identifying information means the information set out in Parts A and C of Schedule 1 and the dates when a person’s or entity’s registration is revoked or expires and when a registered person or entity ceases an activity. A corporation is not eligible for registration with the Centre if its chief executive officer, its president or one of its directors or a person or entity that owns or controls, directly or indirectly, 20% or more of the shares of the corporation is referred to in any of paragraphs 11.11(1)(a) to (d), (e.1) and (f) of the Act. An entity that is not a corporation is not eligible for registration with the Centre if its chief executive officer, its president or one of its directors or a person or entity that owns or controls, directly or indirectly, 20% or more of the entity is referred to in any of paragraphs 11.11(1)(a) to (d), (e.1) and (f) of the Act. An applicant or a registered person or entity must submit the following information to the Centre, in accordance with guidelines that are prepared by the Centre, electronically if they have the technical capability to do so or by telephone if they do not: the information contained in an application for registration referred to in section 11.12 of the Act; a notification, referred to in section 11.13 of the Act, of a change to the information contained in an application or of newly obtained information; [Repealed, SOR/2019-240, s. 85] a clarification requested by the Centre under section 11.14 or 11.17 of the Act; the information contained in an application for the renewal of registration referred to in section 11.19 of the Act; and a notification of the cessation of an activity referred to in section 11.2 of the Act. An application referred to in paragraph 4(a) or (e), a notification referred to in paragraph 4(b) and a clarification referred to in paragraph 4(d) must contain the information set out in Schedule 1. A notification referred to in paragraph 4(f) must contain the information set out in Schedule 2. For greater certainty, although items in Schedules 1 and 2 are described in the singular, a person or entity must report all known information that falls within an item. For the purposes of paragraph 11.12(1)(c.2) of the Act, an applicant that is a corporation must include with its application the following documents: a certificate of incorporation or the most recent version of any other record that confirms its existence as a corporation and contains its name and address and the names of its directors; and a document that sets out the ownership, control and structure of the corporation. For the purposes of paragraph 11.12(1)(c.2) of the Act, an applicant that is an entity other than a corporation must include with its application the following documents: the partnership agreement, articles of association or the most recent version of any other record that confirms its existence and contains its name and address; and a document that sets out the ownership, control and structure of the entity. The documents referred to in paragraphs 11.12(1)(b) and (c) of the Act must be issued no more than six months before the application for registration is submitted. A money services business or foreign money services business must keep the documents referred to in paragraphs 11.12(1)(b) and (c) and subsection 11.12(1.1) of the Act for a period of five years after the day on which it submits to the Centre the application for registration that includes the records or, if the records are submitted with a notification sent under subsection 11.13(1) of the Act, five years after the day on which the notification is sent. For the purposes of section 11.19 of the Act, when a person or entity that is referred to in paragraph 5(h) of the Act and that is engaged in the business of providing the service referred to in subparagraph 5(h)(iv) of the Act, or a person or entity that is referred to in paragraph 5(h.1) of the Act, renews their registration for the first time, they must do so no later than in the case of a person, the last day of the month of the person’s first birthday that occurs after the second anniversary of their initial registration; in the case of a corporation, the last day of the month of the first anniversary of its incorporation that occurs after the second anniversary of its initial registration; and in the case of an entity other than a corporation, the day after the second anniversary of its initial registration. [Repealed, SOR/2019-240, s. 87] Applicant’s name and operating name Status of applicant (whether sole proprietorship, partnership, corporation or other) In the case of an entity, its registration or incorporation number, jurisdiction and country of issue of that number and date on which number was issued [Repealed, SOR/2019-240, s. 92] Address of place of business Applicant’s telephone number Applicant’s URL Every service referred to in paragraph 5(h) or (h.1) of the Act, or every activity referred to in paragraph 5(l) of the Act, in respect of which applicant is applying to be registered or to have registration renewed Existing registration number issued to applicant by the Centre (in the case of an application for renewal of registration, notification of changes to information in existing application or of newly obtained information or clarification of information in existing application) [Repealed, SOR/2019-240, s. 93] Type of information submitted (information contained in application for registration or renewal of registration, notification of changes to information in existing application or of newly obtained information or clarification of information in existing application) Date of submission of application, notification or clarification [Repealed, SOR/2019-240, s. 97] Mailing address of place of business (if different from address in item 5 of Part A) Applicant’s email address If applicant is a person, their name, date of birth and country and political subdivision or territory of birth and of residence If applicant is a corporation name, telephone number, email address, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of its shares name, incorporation number and jurisdiction and country of incorporation of every corporation that owns or controls, directly or indirectly, 20% or more of its shares name, registration number and jurisdiction and country of registration of every entity other than a corporation that owns or controls, directly or indirectly, 20% or more of its shares If applicant is an entity other than a corporation name, telephone number, email address, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of the entity name, incorporation number and jurisdiction and country of incorporation of every corporation that owns or controls, directly or indirectly, 20% or more of entity name, registration number and jurisdiction and country of registration of every entity other than a corporation that owns or controls, directly or indirectly, 20% or more of entity If applicant is a foreign money services business, telephone number and email address of person who resides in Canada and who is authorized to accept, on applicant’s behalf, notices that are served or caused to be served by the Centre under the Act If document that sets out applicant’s record of criminal convictions — or, if applicant is an entity, record of criminal convictions of applicant’s chief executive officer, president and directors and persons who own or control, directly or indirectly, 20% or more of entity or shares of entity — or that states that applicant or those persons do not have record is made in language other than English or French, country, political subdivision or territory and city where document issued name of authority or entity that issued document language in which document made name of organization that issued translator’s certification and name of translator Name, address, account number and branch number or transit number of every financial entity, and every entity outside Canada that provides financial services, with which applicant maintains account for purposes of providing services referred to in paragraph 5(h) or (h.1) of the Act Name and address of every money services business and foreign money services business used by applicant to conduct transactions and registration number issued to that money services business or foreign money services business by the Centre Name, address, telephone number and email address of person referred to in paragraph 156(1)(a) of the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations who is responsible for implementation of compliance program Language in which records of applicant are kept under the Act Indication as to whether service referred to in item 8 of Part A is provided, or activity referred to in that item is carried out, in a dwelling-house Number of persons employed by applicant for purposes of services or activities referred to in item 8 of Part A (at time of application for registration or renewal of registration) Approximate annual value in Canadian dollars of all foreign exchange transactions and all other services or activities referred to in item 8 of Part A (at time of application for registration or renewal of registration) Name, address, telephone number, email address and title of person submitting application on applicant’s behalf [Repealed, SOR/2019-240, s. 98] Indication of whether applicant has previously submitted application for registration Name and operating name of every agent or mandatary Address and telephone number of every agent or mandatary and branch Every service referred to in item 8 of Part A that is provided, or activity referred to in that item that is carried out, by agent or mandatary or branch Relationship to applicant (whether agent or mandatary or branch) For each country in which agents, mandataries or branches provide services or carry out activities referred to in item 8 of Part A, the number of such agents, mandataries and branches Date of issuance of documents obtained and reviewed under subsection 9.93(1) of the Act, country, political subdivision or territory and city where they were issued and name of authority or entity that issued them Date on which applicant is to carry out next review under paragraph 9.93(1)(b) of the Act If agent or mandatary is a person, their date of birth and country and political subdivision or territory of birth and of residence If agent or mandatary is a corporation, name, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of its shares If agent or mandatary is an entity other than a corporation, name, date of birth and country and political subdivision or territory of birth and of residence of its chief executive officer, its president, each of its directors and every person who owns or controls, directly or indirectly, 20% or more of entity Name, address, email address and telephone number of owner, lessor and operator of private automated banking machine, as well as in the case of a person, their date of birth and nature of their principal business or their occupation in the case of an entity, its registration or incorporation number, jurisdiction and country of issue of that number and nature of its principal business Name, address, email address and telephone number of owner of cash that is loaded into private automated banking machine, as well as Number of settlement account for private automated banking machine and name and address of each account holder, nature of their principal business or their occupation and, in the case of a person, their date of birth Terminal identification number of private automated banking machine Brand, model and serial number of private automated banking machine Number of bills that private automated banking machine can contain Name and address of place of business at which private automated banking machine is located and nature of principal business of place of business Nature of business relationship between owner of cash, owner, lessor and operator of private automated banking machine and owner of place of business at which machine is located Source of cash that is loaded into private automated banking machine Method used to transport cash Name and operating name of registered person or entity Existing registration number of registered person or entity Date of submission of notification of cessation of activity Proposed effective date of cessation of activity Name, address, telephone number, email address and title of person submitting notification of cessation of activity on behalf of registered person or entity