AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 52 Of 82
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SEBI Guidelines: SEBI guidelines ensure AML/CFT/PF compliance for intermediaries.
Master Circular: SEBI’s Master Circular dated June 06, 2024, outlines AML/CFT norms.
Risk-Based Approach: Intermediaries must adopt a risk-based approach to ML/TF risks.
Client Due Diligence: CDD involves verifying client identity and beneficial owners.
Suspicious Transaction Reporting: Intermediaries must report STRs to FIU-IND.
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