AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 43 Of 82
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Guideline Applicability: Guidelines apply to all registered intermediaries and VDAs.
Risk-Based Approach: SPs must adopt a risk-based approach to AML/CFT.
Suspicious Transaction Reporting: SPs must report suspicious transactions to FIU-IND.
Client Due Diligence: CDD is mandatory for identifying clients and beneficial owners.
FATF Grey List: Jurisdictions under increased monitoring are on the FATF grey list.
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