AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 17 Of 82
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Suspicious Transaction Criteria: Transactions with unusual complexity or no bona fide purpose are suspicious.
PMLA Penalties: Non-compliance with PMLA can lead to fines and imprisonment.
Client Verification: Entities must verify client identity at account opening.
Directorate Functions: The Directorate enforces PMLA, FEMA, and FEOA.
FIU-IND Reporting: FIU-IND receives cash and suspicious transaction reports.
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AML and CFT Provisions in Securities Markets
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