AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 47 Of 82
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Guideline Updates: Guidelines are updated to reflect evolving financial crimes.
VDA Risk Management: VDA providers must mitigate ML/TF risks.
Terrorist Asset Freezing: UAP Act allows freezing of terrorist-related assets.
AML Policy Implementation: SPs must implement AML policies promptly.
Client Record Maintenance: Records of client transactions must be maintained.
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AML and CFT Provisions in Securities Markets
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