AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 14 Of 82
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PMLA Definitions: PMLA defines terms like “proceeds of crime” and “attachment.”
Beneficial Owner: The beneficial owner is the natural person controlling a client or entity.
Appellate Tribunal: The Appellate Tribunal handles appeals under PMLA.
Special Court: Special Courts are designated for PMLA offence trials.
Transaction Records: Records of client identity must be maintained for five years post-relationship.
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AML and CFT Provisions in Securities Markets
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