Info Source

Introduction to Info Source

Info Source: Sources of Federal Government and Employee Information provides information about the functions, programs, activities and related information holdings of government institutions subject to the Access to Information Act and the Privacy Act. It provides individuals and employees of the government (current and former) with relevant information to access personal information about them held by government institutions subject to the Privacy Act and to exercise their rights under the Privacy Act.

The Introduction and an index of institutions subject to the Access to Information Act and the Privacy Act are available centrally.

The Access to Information Act and the Privacy Act assign overall responsibility to the President of Treasury Board (as the designated Minister) for the government-wide administration of the legislation.

Background

The Financial Transactions and Reports Analysis Centre of Canada (FINTRAC), is Canada's financial intelligence unit which reports to the Minister of Finance, who is accountable to Parliament for the activities of the Centre. It was created in 2000 pursuant to the Proceeds of Crime (Money Laundering) Act (PCMLA). Its mandate was to assist in the detection, prevention and deterrence of money laundering by analyzing and assessing financial transactions and other information and making disclosures to police with respect to money laundering. It also had the mandate of ensuring compliance with the PCMLA and its Regulations.

The PCMLA was renamed the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) on December 24, 2001. At that time, FINTRAC's mandate was extended to assist in the detection, prevention and deterrence of the financing of terrorist activities. FINTRAC was required to make disclosures on these matters to police and to the Canadian Security Intelligence Service on matters relating to threats to the security of Canada.

On December 14, 2006 the PCMLTFA was further amended to expand the number of people and entities subject to the law, to strengthen its deterrence provisions through the creation of administrative monetary penalties, and to broaden the range of information which FINTRAC must disclose. Certain of these provisions came into force in February and June 2007; the remaining provisions came into force in June and December 2008.

On June 19, 2014, Part 1.1 of the PCMLTFA came into force. This Part sets out measures that may be taken by the Minister of Finance to ensure the protection of Canada's financial system and the assistance that FINTRAC is to provide to the Minister to enable him to fulfill his duties. At the same time, the PCMLTFA was also amended to enable FINTRAC to disclose information relating to compliance with Part 1 of the PCMLTFA to the Canada Revenue Agency and to broaden the range of information which FINTRAC must disclose.

As the Minister of Finance is responsible for the Centre, he must table FINTRAC’s annual report in each House of Parliament.

Responsibilities

FINTRAC facilitates the detection, prevention and deterrence of money laundering and terrorist activity financing. Its major policy and program responsibilities are:

  • Receiving financial transaction reports and voluntary information on money laundering and terrorist activity financing in accordance with the legislation and regulations.
  • Safeguarding personal information under its control.
  • Ensuring compliance of reporting entities with the legislation and regulations.
  • Producing financial intelligence relevant to investigations of money laundering, terrorist activity financing and threats to the security of Canada.
  • Researching and analyzing data from a variety of information sources that shed light on trends and patterns in money laundering and terrorist activity financing.
  • Maintaining a registry of money services businesses in Canada.
  • Enhancing public awareness and understanding of money laundering and terrorist activity financing.

Institutional Functions, Programs and Activities

Financial Intelligence

The financial intelligence program of FINTRAC is a component of the federal government's broader national security and anti-crime agenda. The program strives to disrupt the ability of criminals and terrorist groups that seek to abuse Canada's financial system and to reduce the profit incentive of crime. The main method of intervention used by the program is to analyze reported financial transactions and other information the Centre is authorized to receive under the PCMLTFA to produce financial intelligence products including tactical case disclosures that are relevant to the investigation or prosecution of money laundering and terrorist activity financing, and strategic intelligence products that broaden understanding in respect to the nature, scope and threat posed by money laundering and terrorist financing.

Tactical Financial Intelligence

Description: Records created by this program include tactical information derived from the analysis of the transaction reports received from reporting entities and reports received from the Canada Border Services Agency, as required by Parts 1 and 2 of the PCMLTFA; voluntary information from police, law enforcement, security agencies, foreign financial intelligence units and the public; information obtained from public sources and commercially available databases or information that is stored in databases maintained by the federal government, a provincial government, the government of a foreign state or by an international organization for purposes of law enforcement and national security. Records also include information on FINTRAC's work with the Egmont Group of Financial Intelligence Units, the Financial Action Task Force, Financial Action Task Force-style Regional Bodies, and other multilateral organizations; information on technical assistance and its delivery of training on the production of tactical intelligence to other financial intelligence units, either directly by FINTRAC, through the Egmont Training Working Group, or through collaboration with other multilateral organizations.

Document Types: Policies, strategies, procedures, frameworks, information sharing memoranda of understanding (templates, signed versions, reference guides and query guides), financial transaction reports, analysis work files, disclosure files, information protection frameworks, country profiles, evaluations, training materials, presentations, statistical reports, agendas, and statement of requirements and proposals.

Record Number: FINTRAC TFI 010

  • Financial Analysis and Disclosures

    Description: This personal information bank describes information received in reports from a variety of reporting entities (e.g. banks, trust companies, accountants, casinos, money services businesses). Reports are related to the following types of financial transactions: large cash transactions of $10,000 or more (except withdrawals); casino disbursements of $10,000 or more and electronic funds transfers of $10,000 or more ordered in Canada to a foreign country or vice versa. The bank also contains reports regarding suspicious transactions and attempted suspicious transactions as well as those dealing with terrorist assets. Furthermore, the bank contains reports provided by the Canada Border Services Agency relating to the importation or exportation of $10,000 or more in currency or monetary instruments or to the seizure of currency or monetary instruments.

    In addition, the bank contains information voluntarily provided to FINTRAC by federal, provincial, territorial or municipal law enforcement agencies, government institutions or agencies, any agency of another country that has powers and duties similar to those of FINTRAC and information provided by members of the public about suspicions of money laundering and/or the financing of terrorist activities. The bank also contains publicly available information and data gathered from databases maintained by the federal and provincial governments for purposes relating to law enforcement and national security purposes. Personal information may include: name (including alias), contact information, date of birth, citizenship status, biographical information, criminal history (including lawful investigation information), identification number (e.g. client number, driver's licence, and transaction number), place of birth, financial information and credit information. Personal information may also include name and contact information of representatives of reporting entities.

    Notes: Personal information bank was amended in 2014. The macro level intelligence analysis products do not contain identifiable personal information.

    Class of Individuals: General public and representatives of reporting entities.

    Purpose: Personal information is collected, assessed and analyzed to identify indicators, trends and developments of suspected money laundering and/or terrorist activity financing activities and/or threats to the security of Canada pursuant to the PCMLTFA. The purpose of the analysis is either tactical, with the goal of reaching the legal threshold to disclose financial intelligence on specific law enforcement cases (see consistent uses), or strategic, with a goal of producing macro level intelligence products for a wider distribution (e.g. to law enforcement, reporting agencies, public).

    Consistent Uses: Personal information may be disclosed to the appropriate Canadian police service (federal, provincial, and/or municipal) or lawful investigative function of one of the following federal institutions: Canadian Security Intelligence Service; Canada Border Services Agency; Canada Revenue Agency; Communications Security Establishment Canada; or to a foreign financial intelligence unit with which there is a memorandum of understanding, when FINTRAC, on the basis of its analysis, meets the test for disclosure set out in the PCMLTFA.

    Designated information is disclosed to the following program personal information banks:

    CBSA PPU 033 – Secure Tracking System
    CBSA PPU 028 – Canada's War Crimes Program
    CBSA PPU 1106 – Customs Controlled Areas (CCA)
    CBSA PPU 030 – Organized Crime Data Bank (OCSS)
    CRA PPU 095 – Detection and Investigations
    CRA PPU 200 – Charities Directorate T3010 Annual Information Return
    CSEC PPU 040 – Foreign Intelligence Files
    CSIS PPU 045 – Canadian Security Intelligence Service Investigational Records
    RCMP PPU 005 – Operational Case Record
    RCMP PPU 015 – Criminal Operational Intelligence Records
    RCMP PPU 025 – National Security Investigations Records

    Information about representatives of reporting entities is shared with and described in the personal information bank: FINTRAC PPU 028 – Compliance of Reporting Entities.

    Information may also be used for evaluation purposes.

    Retention and Disposal Standards: Information contained in all reports sent to FINTRAC by reporting entities must be retained for ten years beginning on the day on which the report was received. Fifteen years after the day on which a report was received, any identifying information contained in a report must be destroyed, if the report was not disclosed under sections 55(3), 55.1(1), and 56 of the PCMLTFA.

    In addition, information voluntarily provided to FINTRAC in accordance with paragraph 54(a) and information that is collected by FINTRAC, in accordance with paragraph 54(b), that is publicly available or that is stored in databases maintained by the federal or provincial governments for purposes related to law enforcement or national security and in respect of which an agreement was entered into, must be retained for ten years beginning on the day on which the information was received or collected.

    The records disposition schedule has not yet been negotiated with Library and Archives Canada for non-reported information.

    RDA Number: 2010/010

    Related Record Number: FINTRAC TFI 010, FINTRAC SFI 020

    TBS Registration: 006293

    Bank Number: FINTRAC PPU 020

Strategic Financial Intelligence Analysis

Description: Information created by this program includes records pertaining to strategic intelligence resulting from the macro analysis of aggregated data from FINTRAC disclosures and associated reports. It also includes records containing information created from research and analysis of a wide variety of information sources which serve to inform policy, industry and decision-makers on matters of money laundering and terrorist activity financing. Those records may include the identification of emerging trends and typologies, the assessment of products and technologies and other industry related factors regarding vulnerabilities to money laundering and terrorist financing, and guidance on risk-based approaches. It also includes records on FINTRAC's work with the Egmont Group of Financial Intelligence Units, the Financial Action Task Force, Financial Action Task Force-style Regional Bodies, and other multilateral organizations including international technical assistance training related material and presentations to other financial intelligence units, either directly by FINTRAC, through the Egmont Training Working Group, or through collaboration with other multilateral organizations.

Document Types: Strategic Intelligence products (financial intelligence reports, research reports, operational alerts, and operational briefs), intelligence assessments, intelligence briefs, typologies and trends reports, backgrounders/vulnerability assessments, intelligence memorandums, reviews of media articles and publicly available studies, training materials, briefings and presentations.

Record Number: FINTRAC SFI 020

  • Financial Analysis and Disclosures

    Description: This personal information bank describes information received in reports from a variety of reporting entities (e.g. banks, trust companies, accountants, casinos, money services businesses). Reports are related to the following types of financial transactions: large cash transactions of $10,000 or more (except withdrawals); casino disbursements of $10,000 or more and electronic funds transfers of $10,000 or more ordered in Canada to a foreign country or vice versa. The bank also contains reports regarding suspicious transactions and attempted suspicious transactions as well as those dealing with terrorist assets. Furthermore, the bank contains reports provided by the Canada Border Services Agency relating to the importation or exportation of $10,000 or more in currency or monetary instruments or to the seizure of currency or monetary instruments.

    In addition, the bank contains information voluntarily provided to FINTRAC by federal, provincial, territorial or municipal law enforcement agencies, government institutions or agencies, any agency of another country that has powers and duties similar to those of FINTRAC and information provided by members of the public about suspicions of money laundering and/or the financing of terrorist activities. The bank also contains publicly available information and data relevant to money laundering or terrorist financing gathered from databases maintained by the federal government, a provincial government, or the government of a foreign state or an international organization for purposes related to law enforcement and national security purposes. Personal information may include: name (including alias), contact information, date of birth, citizenship status, biographical information, criminal history (including lawful investigation information), identification number (e.g. client number, driver's licence, and transaction number), place of birth, financial information and credit information. Personal information may also include name and contact information of representatives of reporting entities.

    Notes: Personal information bank was amended in 2015. The macro level intelligence analysis products do not contain identifiable personal information.

    Class of Individuals: General public and representatives of reporting entities.

    Purpose: Personal information is received and collected, pursuant to subsections 54(a) and 54(b) of the PCMLTFA respectively, and is assessed and analyzed to identify indicators, trends and developments of suspected money laundering and/or terrorist activity financing activities and/or threats to the security of Canada pursuant to the PCMLTFA. The purpose of the analysis is either tactical, with the goal of reaching the legal threshold to disclose financial intelligence on specific law enforcement cases (see consistent uses), or strategic, with a goal of producing macro level intelligence products for a wider distribution (e.g. to law enforcement, reporting agencies, public).

    Consistent Uses: Personal information may be disclosed to the appropriate Canadian police service (federal, provincial, and/or municipal) or lawful investigative function of one of the following federal institutions: Canadian Security Intelligence Service; Canada Border Services Agency; Canada Revenue Agency; Communications Security Establishment Canada; a provincial securities commission; or to a foreign financial intelligence unit with which there is a memorandum of understanding, when FINTRAC, on the basis of its analysis, meets one of the tests for disclosure set out in the PCMLTFA.

    Designated information is disclosed to the following program personal information banks:

    CBSA PPU 033 – Secure Tracking System
    CBSA PPU 028 – Canada's War Crimes Program
    CBSA PPU 1106 – Customs Controlled Areas (CCA)
    CBSA PPU 030 – Organized Crime Data Bank (OCSS)
    CRA PPU 095 – Detection and Investigations
    CRA PPU 200 – Charities Directorate T3010 Annual Information Return
    CSEC PPU 040 – Foreign Intelligence Files
    CSIS PPU 045 – Canadian Security Intelligence Service Investigational Records
    RCMP PPU 005 – Operational Case Records
    RCMP PPU 015 – Criminal Operational Intelligence Records
    RCMP PPU 025 – National Security Investigations Records

    Information about representatives of reporting entities is shared with and described in the personal information bank: FINTRAC PPU 028 – Compliance of Reporting Entities.

    Information may also be used for evaluation purposes.

    Retention and Disposal Standards: Information contained in all reports sent to FINTRAC by reporting entities must be retained for ten years beginning on the day on which the report was received. Fifteen years after the day on which a report was received, any identifying information contained in the report must be destroyed, if the report was not disclosed under sections 55(3), 55.1(1), and 56 of the PCMLTFA.

    FINTRAC must destroy within a reasonable time, any information contained in a document that purports to be a report made under sections 7, 7.1, 9 or 12 of the PCMLTFA that it determines relates to a financial transaction or circumstance that is not required to be reported. Furthermore, FINTRAC must also destroy within a reasonable time any information voluntarily provided to it by the public that it determines, in the normal course of its activities, is not about suspicions of money laundering or the financing of terrorist activities.

    In addition, information voluntarily provided to FINTRAC in accordance with paragraph 54(a) and information that is collected by FINTRAC, in accordance with paragraph 54(b), that is publicly available or that is stored in databases maintained by the federal, a provincial government, or a government of a foreign state or by an international organization for purposes related to law enforcement or national security and in respect of which an agreement was entered into, must be retained for ten years beginning on the day on which the information was received or collected.

    The records disposition schedule has not yet been negotiated with Library and Archives Canada for non-reported information.

    RDA Number: 2010/010

    Related Record Number: FINTRAC TFI 010, FINTRAC SFI 020

    TBS Registration: 006293

    Bank Number: FINTRAC PPU 020

Compliance

FINTRAC's compliance program is responsible for ensuring compliance with Part 1 and Part 1.1 of the PCMLTFA and associated regulations. The compliance program uses a risk-based approach to deliver enforcement, and relations and support activities that help ensure compliance with legislative and regulatory obligations that apply to individuals and entities operating in Canada's financial system.

The compliance program's enabling activities seek to ensure that reporting entities receive effective guidance and feedback, and fully understand their legal obligations. These activities include participating in dozens of speaking events, presentations and workshops, as well as providing a comprehensive set of guidance tools, including guidelines and Operational Alerts and Briefs. Reporting entities and other stakeholders can also request policy interpretations with respect to the PCMLTFA and associated regulations administered by FINTRAC based on their own specific situations and set of facts. Lastly, FINTRAC also provides reporting entities with guidance and feedback on the reports they submit to help them provide FINTRAC with the best possible financial intelligence.

The compliance program's enforcement activities seek to ensure that reporting entities are meeting their legal obligations, and include: observation letters, reporting entity validations, the monitoring of reports, compliance meetings, compliance assessment reports, examinations, follow-up examinations, administrative monetary penalties and non-compliance disclosures to law enforcement agencies.

Compliance

Description: Information created by this program includes records relating to assessments of compliance by FINTRAC on reporting entities; records related to agreements with various domestic regulators and foreign financial intelligence units; records containing quality, timing and volume assessments received of reporting; compliance examination files on reporting entities including financial transactions and third-party personal information records which are reviewed during the course of an examination; statistical reports on compliance; information on voluntary declarations of non-compliance, records on interpreting legislation and regulations; records of disclosures of non-compliance to law enforcement for investigation or prosecution and records on the administrative monetary penalties program including the review and appeals function. It also includes records on FINTRAC's work with the Egmont Group of Financial Intelligence Units, the Financial Action Task Force, Financial Action Task Force-style Regional Bodies, and other multilateral organizations including international technical assistance training related material and presentations to other financial intelligence units, either directly by FINTRAC, through the Egmont Training Working Group, or through collaboration with other multilateral organizations.

Document Types: Policies, standard operating procedures, correspondence, memoranda, briefing notes, compliance assessment reports, presentations, examination files, statistical reports, declarations of non-compliance, policy interpretations, guides, risk assessments, disclosures of non-compliance, notices of violation, representations from reporting entities, legal submissions from reporting entities, business documents from reporting entities, client records (all types), transaction reports, notices of decision, Court materials (e.g. affidavits, legal documents, notices, orders, court decisions), memoranda of understanding, and training materials.

Record Number: FINTRAC ROC 030

  • Compliance of Reporting Entities

    Description: This personal information bank describes information received for the purpose of ensuring compliance with Part 1 or 1.1 of the PCMLTFA from reporting entities (e.g. banks, trust companies, accountants, insurance companies, etc.), financial regulators, and government institutions, with which FINTRAC has a memorandum of understanding, and other sources, and is related to: the compliance of reporting entities and/or regulators; outreach; enrolment; quality assurance and examination functions. Personal information may include: name, contact information, biographical information, financial information, date of birth and signature. FINTRAC may also receive voluntary information provided by any source relating to the compliance of persons or entities with obligations under the PCMLTFA. In its assessment and review of violations, FINTRAC may receive representations that demonstrate a reporting entity's compliance knowledge as well as statements and information provided to FINTRAC with respect to a reporting entity's level of compliance. Personal information received in this regard may include: course grades and certifications, health and criminal record information, as well as correspondence, the details of which are implicitly or explicitly of a confidential or private nature.

    Note: Personal information bank was amended in 2015.

    Class of Individuals: Reporting entities who are business owners or representatives of businesses, banks, financial regulators and other financial entities.

    Purpose: Information is obtained pursuant to sections 62, 63 and 63.1 of the PCMLTFA for the purpose of ensuring that reporting entities comply with their reporting obligations under Part 1 of the PCMLTFA. Representations with respect to an alleged violation committed by a reporting entity are received pursuant to subsection 73.15 of the PCMLTFA.

    Consistent Uses: The information may be used to establish user accounts and also for the purposes of ensuring authenticity and validation of reports. Contact information is also recorded for the purpose of responding to and tracking questions and comments. As part of obtaining consent to enter a dwelling house for compliance examinations, the date of birth may be used to confirm the identity of the individual and to ensure the safety of the compliance officer by conducting a criminal reference check.

    FINTRAC may issue administrative monetary penalties when it has reasonable grounds to believe that a person or entity has committed a violation in respect of its obligations under the PCMLTFA and its Regulations. For the purpose of collecting penalties, information may be disclosed to other federal institutions, to an agency of a provincial government, or to any other entities inside Canada in accordance with a contract, memoranda of understanding or other agreement. In this regard FINTRAC may disclose information to personal information bank: CRA PPU 047 – Business Returns and Payment Processing.

    In appeal cases, information may be filed with the Federal Court as part of FINTRAC's defence. As such the personal information may be disclosed to personal information bank: JUS PPU 010 – Civil Proceeding and Legal Services. Information concerning the nature of the violation, the name of the person or entity who committed the violation, and the amount of the penalty imposed may also be made public by FINTRAC after all court proceedings are ended.

    FINTRAC may disclose to the appropriate law enforcement agencies any information of which it becomes aware in exercising its compliance functions and that it suspects on reasonable grounds would be relevant to investigation or prosecuting an offence under the PCMLTFA arising out of a contravention of Part 1 or 1.1. Any disclosure of this information to the RCMP would be to personal information banks: RCMP PPU 005 – Operational Case Records, RCMP PPU 015 – Criminal Operational Intelligence Records, or RCMP PPU 025 – National Security Investigations Records.

    FINTRAC may disclose to or receive from any agency or body that regulates or supervises persons or entities to which Part 1 or 1.1 applies information relating to the compliance of those persons or entities with that Part. Any information so disclosed by FINTRAC may be used by the recipient only for purposes relating to compliance with Part 1 or 1.1.

    FINTRAC may disclose compliance information to a foreign agency, which has similar compliance powers and duties, with which there is a memorandum of understanding concerning the compliance of persons and entities with respect to their reporting obligations and about the assessment of risk related to their compliance.

    FINTRAC may also provide information to the Canada Revenue Agency respecting the compliance of persons or entities that are subject to Part 1 of the PCMLTFA in order to allow that agency to ensure compliance of these persons or entities with their electronic funds transfer reporting obligations under the Income Tax Act. Pursuant to subsection 65.02(3) of the PCMLTFA, any such information provided by FINTRAC cannot, directly or indirectly, identify a client of the reporting entity. The provision of compliance information to the Canada Revenue Agency is primarily business information and any actual personal information that is provided would be to personal information bank: CRA PPU 411 – Offshore Compliance. The Canada Revenue Agency may also provide FINTRAC with information that relates to the compliance of reporting entities with their electronic funds transfer reporting obligations under the Income Tax Act where such information would be relevant to compliance by the reporting entities with their obligations under the PCMLTFA.

    Information may also be used for evaluation purposes.

    Retention and Disposal Standards: Under development

    RDA Number: 2010/010

    Related Record Number: FINTRAC ROC 030

    TBS Registration: 20091261

    Bank Number: FINTRAC PPU 028

Money Services Business Registry

Description: Information created by this program includes records related to the registration and identification of MSBs including service locations. It also includes records related to pending registration applications, identification of potential registrants, notifications (registration acknowledgments, registration denials, and requests for clarification, pending cessations, etc.), registration updates, pending renewals, and appeal information.

Document Types: Policies, procedures, correspondence, memorandums, briefing notes, registration instructions and application forms, approval documents, lists of money services businesses, notifications, guides, interpretation notices, applications for review, notices of decision, and frequently asked questions.

Record Number: FINTRAC REG 040

  • Money Services Business Registration

    Description: This personal information bank describes information collected during the application for registration, the review of a denial of registration or a review of the revocation of registration of money services businesses (e.g. foreign exchange dealers, issuers or redeemers of money orders, alternative money remittance systems such as Hawala) by FINTRAC. Personal information may include: name and contact information, language preference, password, date of birth, financial information, identification numbers, and criminal record information.

    Note: Personal information bank was updated in 2014.

    Class of Individuals: Money service business owners, representatives, agents, and mandataries (e.g. powers of attorney).

    Purpose: The information is collected for the purpose of registration, review, and approval of money service businesses by FINTRAC, pursuant to sections 11.1 to 11.3 of the PCMLTFA. The information will also be used for the purpose of ensuring compliance with the PCMLTFA, and may be used for analytical purposes.

    Consistent Uses: With respect to a business appealing the decision to deny its application or revoke its registration, personal information may be filed with Federal Court as part of FINTRAC's defence. As such the personal information may be disclosed to personal information bank: JUS PPU – 010 Civil Proceeding and Legal Services.

    Personal information may be used for analysis and, as a result, in accordance with the PCMLTFA, where such information is pertinent to a case and FINTRAC has reasonable grounds to suspect that the disclosure would be relevant to the investigation or prosecution of a money laundering offence or a terrorist activity financing offence, the information must be disclosed to the appropriate Canadian police force (federal, provincial, and/or municipal). In addition, the same information must be disclosed to the Canada Border Services Agency, the Canada Revenue Agency and the Communications Security Establishment Canada when additional statutory criteria are met. The same information may be disclosed to a foreign financial intelligence unit with which there is a memorandum of understanding if FINTRAC, on the basis of its analysis, has reasonable grounds to suspect that the information would be relevant to an investigation or prosecution of a money laundering or terrorist activity financing offence or an offence that is substantially similar to either offence. The same information must also be disclosed to the Canadian Security Intelligence Service if FINTRAC has reasonable grounds to suspect that the disclosure would be relevant to threats to the security of Canada.

    Designated information may be disclosed to the following program personal information banks:

    CBSA PPU 033 – Secure Tracking System
    CBSA PPU 028 – Canada's War Crimes Program
    CBSA PPU 1106 – Customs Controlled Areas (CCA)
    CBSA PPU 030 – Organized Crime Data Bank (OCSS)
    CRA PPU 095 – Detection and Investigations
    CRA PPU 200 – Charities Directorate T3010 Annual Information Return
    CSEC PPU 040 – Foreign Intelligence Files
    CSIS PPU 045 – Canadian Security Intelligence Service Investigational Records
    RCMP PPU 005 – Operational Case Records
    RCMP PPU 015 – Criminal Operational Intelligence Records
    RCMP PPU 025 – National Security Investigations Records

    Information may also be used for compliance purposes including the imposition of administrative monetary penalties and, in that context, the information may be shared with entities with which FINTRAC has a contract for the purpose of collecting those administrative monetary penalties.

    Information may also be used for evaluation purposes.

    Retention and Disposal Standards: Under development

    RDA Number: 2010/010

    Related Record Number: FINTRAC REG 040

    TBS Registration: 20091262

    Bank Number: FINTRAC PPU 027

Internal Services

Internal services constitute groups of related activities and resources that are administered to support the needs of programs and other corporate obligations of an organization. These groups are management and oversight services, communications services, legal services, human resources management services, financial management services, information management services, information technology services, real property services, materiel services, acquisition services, and travel and other administrative services. Internal services include only those activities and resources that apply across an organization and not to those provided specifically to a program.

Acquisition Services

Acquisition services involve activities undertaken to acquire a good or service to fulfill a properly completed request (including a complete and accurate definition of requirements and certification that funds are available) until entering into or amending a contract.

Communications Services

Communications services involve activities undertaken to ensure that Government of Canada communications are effectively managed, well-coordinated and responsive to the diverse information needs of the public. The communications management function ensures that the public—internal or external—receives government information, and that the views and concerns of the public are taken into account in the planning, management and evaluation of policies, programs, services and initiatives.

Financial Management Services

Financial management services involve activities undertaken to ensure the prudent use of public resources, including planning, budgeting, accounting, reporting, control and oversight, analysis, decision support and advice, and financial systems.

Human Resources Management Services

Human resources management services involve activities undertaken for determining strategic direction, allocating resources among services and processes, as well as activities relating to analyzing exposure to risk and determining appropriate countermeasures. They ensure that the service operations and programs of the federal government comply with applicable laws, regulations, policies and plans.

Information Management Services

Information management services involve activities undertaken to achieve efficient and effective information management to support program and service delivery; foster informed decision making; facilitate accountability, transparency and collaboration; and preserve and ensure access to information and records for the benefit of present and future generations.

Information Technology Services

Information technology services involve activities undertaken to achieve efficient and effective use of information technology to support government priorities and program delivery, to increase productivity, and to enhance services to the public.

Legal Services

Legal services involve activities undertaken to enable government departments and agencies to pursue policy, program and service delivery priorities and objectives within a legally sound framework.

Management and Oversight Services

Management and oversight services involve activities undertaken for determining strategic direction and allocating resources among services and processes, as well as those activities related to analyzing exposure to risk and determining appropriate countermeasures. They ensure that the service operations and programs of the federal government comply with applicable laws, regulations, policies or plans.

Materiel Services

Materiel services involve activities undertaken to ensure that materiel can be managed by departments in a sustainable and financially responsible manner that supports the cost-effective and efficient delivery of government programs.

Real Property Services

Real property services involve activities undertaken to ensure that real property is managed in a sustainable and financially responsible manner, throughout its life cycle, to support the cost-effective and efficient delivery of government programs.

Travel and Other Administrative Services

Travel and other administrative services include Government of Canada travel services, as well as those other internal services that do not smoothly fit with any of the internal services categories.

Classes of Personal Information

Through the conduct of compliance activities, FINTRAC receives and collects a variety of personal information which is used solely to document, assess and review a reporting entity's compliance program, reporting history, record keeping, client identification and reporting obligations. The receipt of this information, which includes financial information such as account numbers and transactional details relating to individuals, is authorized pursuant to the PCMLTFA, and is not used by FINTRAC for the purpose of making administrative decisions about the individuals to whom the information relates.

Personal information is stored as part of the compliance examination file (or the file used for internal reviews and court appeals) where the records are not retrievable by the individual's name or other personal identifier. The retention periods for these classes of personal information are controlled by the retention period of the subject files in which they are stored.

Manuals

  • Administration of Access to Information and Privacy Requests
  • Administrative Monetary Penalties Program Procedures Handbook
  • Approval Rejection of Reporting Entity Public Key Infrastructure Applications
  • Complaints Resolution Process
  • Compliance Tool: Desk vs Onsite Exam
  • Consent Form for Authorizing or Cancelling a Representative of a Reporting Entity to Deal with FINTRAC on their Behalf
  • Consent Form to Enter a Dwelling House for Compliance Examination
  • Contact Management System Steps for Mergers of Reporting Entities
  • Enrolment of Reporting Entities for Electronic Reporting
  • Examinations Handbook
  • Form to Make Representations
  • Framework for Enhanced Process
  • Handling of Reporting Entity Information
  • Maintaining Electronic Reporting Access
  • Money Services Business Branch Agency Information Batch File Upload Specifications
  • Money Services Business Registration Denials and Revocations
  • Money Services Business Unit Handbook for FINTRAC Compliance Officers
  • Office of the Superintendent of Financial Institutions FINTRAC Concurrent Assessments Examinations Framework
  • Policy Interpretation Process
  • Policy for the Review of Administrative Monetary Penalties Representations
  • Procedures on the Review of Administrative Monetary Penalties Representations
  • Public Presentations and Communications with the Media
  • Quality, Timing and Volume Reference Guide Compendium
  • Reports Monitoring – Paper Reports
  • Reports Monitoring Regional Reports Liaison Officer User Guide
  • Reports Monitoring – Quality, Timing and Volume (QTV)
  • Reports Monitoring – Voluntary Self-Declaration of Non-Compliance
  • Reports Segregation Process
  • Triage Process Handbook for Inquiries Received at FINTRAC
  • User Guide/Procedure for Downtime/Outage Messages for FINTRAC’s Electronic Reporting Systems
  • Using and Maintaining the Contact Management System for FINTRAC Compliance Officers

Additional Information

Please visit the Access to Information and Privacy Protection page for more information on how to file a request under the Access to Information Act or Privacy Act. Summaries of completed Access to Information requests are also available online. FINTRAC may be able to process informal requests for information where exemptions do not apply to the records or where only a cursory review of the records is required.

FINTRAC conducts Privacy Impact Assessments to ensure that privacy implications will be appropriately identified, assessed and resolved before a new or substantially modified program or activity involving personal information is implemented. You can also consult FINTRAC's Privacy Policy to find out more about how FINTRAC assesses privacy impacts on its programs and services. Summaries of completed PIAs are available online.

For general enquiries please contact us.

Reading Room

In accordance with the Access to Information Act and Privacy Act, an area on the premises will be made available should the applicant wish to review materials on site. Applicants are asked to contact us to make arrangements.

Date Modified: