AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 16 Of 82
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Cross-Border Offences: PMLA addresses offences with international implications.
PMLA Rules: PML Rules specify transaction reporting and record maintenance procedures.
Principal Officer Role: The Principal Officer ensures compliance with PMLA reporting.
FIU-IND Coordination: FIU-IND coordinates with enforcement agencies globally.
Record Retention: Transaction records must be preserved for five years.
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AML and CFT Provisions in Securities Markets
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