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FINTRAC - Risk Assessment Form

FINTRAC - Risk Assessment Form 2026

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The document is a Risk Assessment Form designed to help brokerages evaluate and document their exposure to money laundering and terrorist financing risks, as mandated by law. It includes sections for identifying threats, assessing client-related risks, and developing compliance strategies. The form must be completed every two years and retained for five years, with specific guidelines provided for customizing the assessment checklist based on the brokerage's unique circumstances.

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Begin by filling in the 'Date', 'Office', and 'Completed By' fields at the top of Part 1. Ensure accuracy as this information is crucial for compliance.
In the 'Broker Verification' section, provide your signature to confirm that you have completed the form accurately.
Move to Part 2, where you will assess various risk factors. For each statement, select the frequency that applies: Frequently, Occasionally, Seldom, Never, or N/A.
After completing Part 2, proceed to Part 3. Rank your brokerage’s overall risk level (Low, Medium, High) and provide a rationale for your assessment in the designated space.
Finally, in Part 4, outline your Risk Mitigation Strategy based on your findings. Reference CREA's Office Compliance Manual if necessary.

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What is a risk assessment form?

You can use a risk assessment template to help you keep a simple record of: who might be harmed and how. what youre already doing to control the risks. what further action you need to take to control the risks.

What is the most widely used risk assessment?

Qualitative risk assessment Qualitative risk assessments are the most frequently used risk assessments for companies in high-risk industries. Assessments of this kind measure the severity of a risk. In most cases, qualitative risk assessments are used to determine the severity of multiple risks at once.

What are the 4 Ps of risk assessment?

The 4 Ps of risk assessmentPredict, Prevent, Prepare, and Protecttakes on a heightened significance in environments where the potential for severe and costly risks is ever-present. Effective risk assessment is paramount to ensure safety, operational continuity, and environmental responsibility.

Which 3 reports must be submitted to FINTRAC?

Businesses that have an Internet connection must submit the following reports electronically: Suspicious Transaction Reports. Large Cash Transaction Reports. Large Virtual Currency Transaction Reports.

What are the 4 components of risk assessment?

The air risk staff generally follows a basic four step risk assessment process, including hazard identification, exposure assessment, dose-response assessment, and risk characterization, as described below.

What is the risk assessment form in Canada?

The Risk Assessment Form is a tool to identify and assess potential risks that research partnerships may pose to Canadas national security as outlined in the National Security Guidelines for Research Partnerships and to develop effective mitigation measures.

What are the 4 main risk categories?

In risk management, risks are generally classified into four main categories: strategic risk, operational risk, financial risk, and compliance risk. Each of these categories has unique characteristics and requires specific mitigation strategies.

What are the 4 types of risk assessments?

There are four main types of risk assessments that organisations commonly utilize: qualitative, quantitative, subjective, and objective. In this article, we will explore each type of risk assessment in-depth, discussing their importance, processes, benefits, and limitations.

FINTRAC - Risk Assessment Form 2026

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