AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 12 Of 82
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Record Maintenance: Section 12 mandates maintaining transaction records for five years.
Suspicious Transactions: Reporting entities must report suspicious transactions to FIU-IND.
Principal Officer: Each reporting entity must appoint a Principal Officer for PMLA compliance.
Directorate of Enforcement: The Directorate enforces PMLA and investigates money laundering.
FIU-IND Functions: FIU-IND analyzes and disseminates financial intelligence to authorities.
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AML and CFT Provisions in Securities Markets
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