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BR-260 — Broker Compliance
Compliant documentation, anti-diversion controls, and cross-border transaction readiness for licensed brokers and agents.
At-a-Glance
| Item | Details |
|---|---|
| Module Code | BR-260 |
| Title | Broker Compliance & Anti-Diversion |
| Duration & Modality |
8 hours total • 6h e-learning (asynchronous) • 2h virtual workshop (case studies & role-play) |
| Target Audience | Individuals/companies applying for a Broker License under the CLA/NCRC, including international operators without permanent local facilities. |
| Prerequisites | CC-101 (Cannabis Law & Compliance) and SEC-103 (Security & Inventory Control) — completed or taken concurrently. |
| Certificate Awarded | “Certificate — Broker Compliance & Anti-Diversion” • Validity: 3 years (refresher + CLA approval required for renewal) |
| Individual Fee |
XCD $960 per learner. Group rates available for firms and cooperatives. A portion of each enrollment is remitted to the NCRC. Credit policy: Fee is fully credited toward the CannBiz or CannTrade program tuition if you enroll within 12 months. |
Learning Outcomes
- Understand the legal scope and limits of the Broker License under the Integrated Cannabis Act.
- Manage contracts, manifests, and transaction files that are audit-ready for CLA/NCRC review.
- Apply anti-diversion and AML controls to prevent illicit movement and financial misuse.
- Operate within transport/possession limits and coordinate only with licensed carriers.
- Navigate cross-border transactions, import/export documentation, and compliant financial flows.
Curriculum Breakdown
| Module | Topics | Hours |
|---|---|---|
| 1. Legal Scope of Broker License | Definition & limits • Roles & responsibilities (Section 8.2(l)) • Distinction between brokering vs. possession/transport | 2h |
| 2. Documentation & Record-Keeping | SOPs for contracts & manifests • Compliance-ready records • CLA/NCRC reporting & audit prep | 2h |
| 3. Anti-Diversion & Compliance Protocols | Diversion & AML risks • National & international standards • Case studies: transactional red flags | 2h |
| 4. Cross-Border Operations & Finance | Import/export rules for brokers • Coordination with licensed carriers/importers/exporters • Banking channels & taxation | 2h |
Assessment
- Case Study: Simulate an end-to-end brokered transaction (documentation, checks, reporting) — 50%.
- MCQ Quiz: Law & compliance knowledge check — 50%.
Certification
Awarded: “Certificate — Broker Compliance & Anti-Diversion” • Valid for 3 years (refresher required on renewal).
Resources Included
CLA/NCRC Broker Compliance Manual • Transaction checklist & reporting templates • AML/anti-diversion red-flag guide.
Recognized by Industry & Government
CaribCanna – The Caribbean Academy of Cannabis Sciences – is the recognized training provider accredited to deliver the mandatory Licensing Programs in Dominica.
