AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 30 Of 82
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Transaction Reporting: Cash transactions below ₹10 lakh but connected are reportable.
Principal Officer Reporting: The Principal Officer files transaction reports to FIU-IND.
KYC for Foreign Nationals: Foreign nationals require overseas address proof.
Client Record Updates: Entities must update client records based on risk.
Suspicious Transaction Definition: Suspicious transactions may involve terrorism financing.
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AML and CFT Provisions in Securities Markets
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