Compliance Diary & Checklist – Q3 2021

This document consists of a checklist and diary.  The checklist suggests compliance items to check every quarter and items to check this quarter, to help ensure compliance with AFS and credit licensing and AMF/CTF obligations.  It also suggests updates to make to your AFS or credit licence policies, risk register, AML/CTF measures, and in other areas – in light of recent regulatory developments and trends.  The diary sets out a schedule for the commencement of upcoming new regulatory obligations.  The document is appropriate to AFS and credit licensees and is designed to accommodate a range of sectors in AFS and credit.  Where possible, items are flagged as being relevant to a particular sector so that the document can be easily tailored to the licensee.