4ormEx · Sandbox preview · Compliance Console · Persona: Compliance Officer · Simulated data only
CO
07 · Compliance Console
Compliance Officer
CIRO/CSA registered · KYC, AML, NI 45-106 oversight · Session opened 09:14 EST · Supervisor view enabled
● Live monitoring
Pending reviews
7
3 KYC · 2 AML · 2 NI 45-106
Approved today
24
SLA 98.4% (target 95%)
Flagged · 7d
3
2 PEP hits · 1 sanctions partial
Pre-trade pass rate
99.7%
31,418 / 31,510 · 30d
AML alerts requiring review
Sanctions · PEP · Watchlist
| When | Subject | Match | Score | Action |
|---|
| 14:02 | Toronto Holdings Ltd.Beneficial owner | PEP · Provincial elected official (immediate family) | 0.92 | Open → |
| 11:18 | Yukon Heritage TrustBeneficial owner | Sanctions partial · name only | 0.68 | Open → |
| Yesterday | Pacific Ridge LPCounterparty | Adverse media · regulatory action (2019) | 0.74 | Open → |
| Yesterday | Quebec Industrial GroupBeneficial owner | PEP · Former federal minister | 0.81 | Open → |
Pre-trade check log
Last 30 min · live
| Time | Order | Counterparty | Checks | Result |
|---|
| 14:22:31 | tACP-VII · BUY 50 | Bay Street | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Custody ✓ | Passed |
| 14:22:14 | tGCB · BUY 10k | Bay Street | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Custody ✓ | Passed |
| 14:21:08 | tCRE-CGY1 · SELL 100 | Northern Capital | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Lockup ✗ | Blocked |
| 14:20:55 | tABP28 · BUY 1k | Mercer Family | KYC ⚠ KYC expiring 30d | Passed · warn |
| 14:20:42 | tAUC · SELL 500 | Athabasca | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Custody ✓ | Passed |
| 14:20:31 | tEDC25 · BUY 200 | Cascade Pension | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Custody ✓ | Passed |
| 14:20:18 | tACP-VIII · BUY 30 | RBC Wealth Pvt | KYC ✓ NI45-106 ✓ Jurisdiction ✓ Custody ✓ | Passed |
| 14:19:55 | tPMP-A · SELL 5k | Coastal Pension | KYC pending · onboarding incomplete | Blocked |
Regulatory reports
| Report | Regulator | Period | Due | Status |
|---|
| FINTRAC LCTRLarge-cash transactions ≥ C$10k | FINTRAC | Daily | Daily 23:59 EST | Auto-filed · today |
| CIRO Marketplace TapeTrade-by-trade execution | CIRO | Daily | T+1 09:00 EST | Auto-filed · yesterday |
| CSA Form 21-101F2Marketplace operations report | CSA | Monthly | Jun 15, 2026 | Draft ready |
| OSFI E-13 returnsCapital adequacy | OSFI | Quarterly | Jul 31, 2026 | In prep |
| FINTRAC STRsSuspicious transaction reports | FINTRAC | As needed | Within 30d of detection | 0 open |
Compliance health · 30d
Rolling
Onboardings completed
38
Avg KYC turnaround
14.2 hrs (SLA 24)
AML hits · escalated
7
AML hits · dismissed
14
STRs filed
0
Pre-trade blocks
92
Block-to-fill ratio
0.29%
Sanctions list refresh
Daily · 06:00 EST
Last audit
Internal · May 8
All regulatory SLAs met · audit-ready posture
