Get Fintrac - Risk Assessment Form

This guide provides clear and supportive instructions for completing the FINTRAC - Risk Assessment Form online. By following the steps outlined, users can effectively assess and document the risks related to money laundering and terrorist financing pertinent to their brokerage.

Follow the steps to fill out the form online.

1. Press the ‘Get Form’ button to acquire the form and open it in the online editor.
2. Enter the date in the designated field. This helps track when the assessment is conducted.
3. Fill out the office name in the provided space to identify where the assessment is being carried out.
4. Complete the ‘Completed By’ section with your name to credit who is conducting the assessment.
5. In the ‘Broker Verification’ field, include your signature as a confirmation of the information provided.
6. Proceed to Part 2, utilizing the checklist to assess risks. Indicate how frequently each situation applies by marking ‘Frequently,’ ‘Occasionally,’ ‘Seldom,’ ‘Never,’ or ‘N/A’.
7. Review your answers in Part 2 and summarize your brokerage's overall risk level in Part 3. Set your classification: Low, Medium, or High.
8. In the explanation section, clarify the rationale for your risk ranking based on your responses and any relevant factors.
9. Complete Part 4 by developing a risk mitigation strategy aligned with compliance policies and procedures if a high-risk level is indicated.
10. Once all parts are filled, save the document and choose to download, print, or share the completed form as needed.

Take the next step in ensuring compliance by completing your forms online today.