AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 22 Of 82
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Cross-Border Transfers: Wire transfers over ₹5 lakh require reporting.
Client Due Diligence: Rule 9 mandates verifying client identity and beneficial owners.
Central KYC Registry: KYC records must be filed with the Central KYC Registry within 10 days.
Suspicious Transactions: Rule 3 requires reporting transactions suspected of involving proceeds of crime.
Principal Officer Role: Rule 7 mandates reporting entities to appoint a Principal Officer.
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AML and CFT Provisions in Securities Markets
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