AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 19 Of 82
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Client Due Diligence Process: CDD involves verifying client identity and transaction purpose.
FIU-IND Establishment: FIU-IND was set up in 2004 under the Ministry of Finance.
PMLA Confidentiality: Information furnished under PMLA must remain confidential.
Cross-Border Reporting: Cross-border wire transfers above ₹5 lakh are reportable.
Principal Officer Appointment: Reporting entities must appoint a senior officer as Principal Officer.
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AML and CFT Provisions in Securities Markets
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