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

Version of the schedule from 2016-06-30 to 2020-05-31:


SCHEDULE 1(Sections 2 and 5)Information To Be Included in Application for Registration or Renewal of Registration, Notification of Changes to Information in Existing Application, Notification of Newly Obtained Information and Clarification of Information in Existing Application

PART AIdentifying Information on Person or Entity that Is the Applicant

  • 1 
    Trade names, operating names and legal names of applicant (if applicable)
  • 2 
    Status of applicant (whether sole proprietorship, partnership, corporation or other)
  • 3 
    For an applicant that is a corporation, the incorporation number, date of incorporation and jurisdiction of incorporation
  • 4 
    Business licence number and place of issue
  • 5 
    Address of place of business
  • 6 
    Telephone number
  • 7 
    Facsimile number (if applicable)
  • 8 
    Business website address (if applicable)
  • 9 
    Activity or activities referred to in paragraph 5(h) or (l) of the Act in respect of which the applicant is applying to be registered or to have their registration renewed
  • 10 
    Existing registration number issued to applicant by the Centre (in the case of an application for renewal of registration, a notification of a change to information in an existing application, a notification of newly obtained information or a clarification of information in an existing application)
  • 11 
    Date of existing registration (if applicable)

PART BBusiness Information on Person or Entity that Is the Applicant

  • 1 
    Type of submission (application for registration or renewal of registration, notification of a change to information in an existing application, notification of newly obtained information or clarification of information in an existing application)
  • 2 
    Date of submission of application, notification or clarification
  • 3 
    Effective date (in the case of a notification of a change to the information in an existing application)
  • 4 
    Mailing address of place of business (if different from address in item 5 of Part A)
  • 5 
    E-mail address (if applicable)
  • 6 
    For an applicant that is a person, their name and date of birth
  • 7 
    For an applicant that is a corporation,
    • (a) 
      the name and date of birth of the chief executive officer, the president and every director of the corporation and every person who owns or controls, directly or indirectly, 20 per cent or more of the shares of the corporation
    • (b) 
      the name, incorporation number and place of incorporation of every corporation that owns or controls, directly or indirectly, 20 per cent or more of the shares of the corporation, and
    • (c) 
      the name of every entity other than a corporation that owns or controls, directly or indirectly, 20 per cent or more of the shares of the corporation
  • 8 
    For an applicant that is an entity other than a corporation,
    • (a) 
      the name and date of birth of the chief executive officer, the president and every director of the entity and every person who owns or controls, directly or indirectly, 20 per cent or more of the entity
    • (b) 
      the name, incorporation number and place of incorporation of every corporation that owns or controls, directly or indirectly, 20 per cent or more of the entity, and
    • (c) 
      the name of every entity other than a corporation that owns or controls, directly or indirectly, 20 per cent or more of the entity
  • 9 
    Name, address, account number and branch number or transit number of every financial entity with which the applicant maintains an account for the purposes of remitting or transmitting funds
  • 10 
    Name and address of every Canadian money services business used by the applicant to conduct transactions and the registration number issued to that money services business by the Centre
  • 11 
    Name, address, telephone number and e-mail address of person, referred to in paragraph 71(1)(a) of the Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations, who is responsible for implementation of compliance program
  • 12 
    Language in which records of the applicant are kept
  • 13 
    Indication as to whether any activities of the applicant referred to in item 9 of Part A are carried out in a dwelling house
  • 14 
    Number of persons employed by the applicant for the purposes of the activities referred to in item 9 of Part A (at time of application for registration or renewal of registration, as applicable)
  • 15 
    Approximate annual value in Canadian dollars of all foreign exchange dealing and all other activities referred to in item 9 of Part A (at time of application for registration or renewal of registration, as applicable)
  • 16 
    Name, position, business address, business telephone number and business e-mail address of the person submitting the application on the applicant’s behalf
  • 17 
    Indication as to whether the applicant is a person or entity referred to in any of paragraphs 5(a) to (g) or (i) to (l) of the Act (if applicable)
  • 18 
    Indication as to whether the applicant has previously submitted an application for registration

PART CInformation to Be Provided by Applicant on Its Agents, Mandataries or Branches

  • 1 
    Trade names, operating names and legal names of every agent or mandatary
  • 2 
    Business address, business telephone number and, if applicable, business e-mail address and website of every agent, mandatary or branch
  • 3 
    Activity or activities referred to in item 9 of Part A that are carried out by agent, mandatary or branch
  • 4 
    Where agent or mandatary is not a person or entity to which Part 1 of the Act applies, address of all locations where the activity or activities referred to in item 9 of Part A are carried out
  • 5 
    Relationship to applicant (whether agent, mandatary, branch or other)

PART DStatement of Eligibility for Registration

  • 1 
    For an applicant that is a person, a statement that they are not a person who is not eligible for registration with the Centre under subsection 11.11(1) of the Act.
  • 2 
    For an applicant that is a corporation, a statement that the chief executive officer, the president and every director of the corporation, and every person or entity that owns or controls, directly or indirectly, 20 per cent or more of the shares of the corporation, is not a person or entity referred to in subsection 3(1) of these Regulations that is not eligible for registration.
  • 3 
    For an applicant that is an entity other than a corporation, a statement that the chief executive officer, the president and every director of the entity, and every person or entity that owns or controls, directly or indirectly, 20 per cent or more of that entity, is not a person or entity referred to in subsection 3(2) of these Regulations that is not eligible for registration.
  • SOR/2008-21, s. 22
  • SOR/2016-153, s. 99(F)
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