AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 29 Of 82
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Client Due Diligence Timing: CDD is conducted at account opening and periodically.
Suspicious Transaction Reports: STRs include attempted transactions.
KYC Record Storage: The Central KYC Registry safeguards KYC records.
Aadhaar Exemptions: Exemptions exist for clients unable to provide Aadhaar.
Digital KYC Accessibility: Guidelines ensure digital KYC inclusivity for disabled persons.
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AML and CFT Provisions in Securities Markets
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