AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 13 Of 82
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Scheduled Offences: PMLA covers offences listed in its schedule, including SEBI Act violations.
Client Due Diligence: Reporting entities must verify client identity and beneficial owners.
Record Confidentiality: Transaction records must be kept confidential unless required by law.
Cash Transaction Reporting: Transactions over ₹10 lakh must be reported to FIU-IND.
Cross-Border Transfers: Wire transfers above ₹5 lakh require reporting.
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AML and CFT Provisions in Securities Markets
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