AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 48 Of 82
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Suspicious Transaction Monitoring: SPs must monitor transactions for suspicious activity.
Global Cooperation: AML/CFT requires international collaboration.
VDA Convertible Funds: Guidelines apply to VDAs convertible to other funds.
FIU-IND Coordination: FIU-IND coordinates with enforcement agencies.
Risk-Based Monitoring: Monitoring must be sensitive to ML/TF risks.
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AML and CFT Provisions in Securities Markets
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