AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 23 Of 82
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Record Retention: Transaction records must be retained for 10 years.
Group-Wide Policies: Rule 3A requires group-wide AML/CFT policies for information sharing.
KYC Verification: Entities must verify client identity at account opening.
Suspicious Transaction Reporting: STRs must be filed with FIU-IND promptly.
Digital KYC: KYC can be conducted digitally using Aadhaar or other valid documents.
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AML and CFT Provisions in Securities Markets
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