AML and CFT Provisions in Securities Markets Certification Exam Notes
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Digital Signature: KYC documents can be authenticated using electronic signatures.
High-Risk Clients: Enhanced due diligence is required for high-risk clients.
Record Retrieval: Records must be easily retrievable for competent authorities.
Suspicious Transaction Criteria: Transactions with no economic rationale are suspicious.
KYC Updates: Client KYC records must be updated periodically.
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AML and CFT Provisions in Securities Markets
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