AML and CFT Provisions in Securities Markets Certification Exam Notes
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PMLA Coverage: PMLA covers banking companies, NBFCs, and intermediaries.
Beneficial Owner Identification: Entities must identify beneficial owners of clients.
Record Maintenance Period: Client records are retained for five years after transactions.
Suspicious Transaction Reporting: STRs must be filed promptly with FIU-IND.
PMLA Amendments: PMLA has been updated to align with global AML standards.
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AML and CFT Provisions in Securities Markets
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