Securities Dealer compliance programs
We lead your migration to the unified CIRO Rulebook, master sanctions governance, and deploy the digital-asset compliance frameworks 2026 demands — from trade surveillance to crypto-custody documentation.
The securities dealer risk landscape in 2026
The consolidation of IIROC and MFDA into CIRO created a new unified framework every dealer must navigate. Layered with FINTRAC’s 2026 AML requirements and the growth of digital-asset trading, the compliance burden has never been higher.
Transitioning to the CIRO Rulebook and meeting the 2026 proficiency requirements carries real operational and certification exposure. We help you see exactly where your exposure lies.
Sanctions evasion through digital assets is a fast-growing risk, layered on top of FINTRAC’s virtual-currency obligations. The right program protects your firm.
We master CIRO & sanctions governance
AA+ Solutions leads your migration to the consolidated CIRO Rulebook, maps your team against the 2026 proficiency model, and builds the trade-surveillance, sanctions-governance, and digital-asset compliance frameworks that satisfy both CIRO and FINTRAC simultaneously. Every engagement is tailored to your firm; contact us for a consultation to scope exactly what your program needs.
What securities dealers need
Compliance Program Design
A dual-framework program satisfying both the CIRO Rulebook and FINTRAC PCMLTFA obligations — including digital-asset provisions.
Risk Assessment
A securities-specific risk assessment covering trade-based laundering, sanctions evasion, and digital-asset exposure.
Effectiveness Audit
An independent review aligned with both CIRO examination standards and FINTRAC’s biennial effectiveness requirement.
Has your program kept pace with CIRO’s 2026 requirements?
Book a free consultation and we’ll assess your securities dealer compliance program against current CIRO and FINTRAC requirements.