AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 46 Of 82
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UAP Act Enforcement: UAP Act prohibits transactions supporting terrorism.
SP Obligations: SPs must implement group-wide AML/CFT programs.
Suspicious Transaction Criteria: Transactions lacking economic rationale are suspicious.
FIU-IND Reporting: SPs report suspicious transactions to FIU-IND.
Risk Assessment: SPs assess ML/TF risks for new products and services.
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AML and CFT Provisions in Securities Markets
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