AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 53 Of 82
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AML Policy: Intermediaries must maintain written AML procedures.
Client Acceptance Policy: Policies must identify high-risk clients for ML/TF.
Beneficial Owner: Beneficial owners hold over 10% of company shares or profits.
Politically Exposed Persons: PEPs require enhanced due diligence.
High-Risk Clients: NRIs, HNIs, and trusts are considered high-risk clients.
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AML and CFT Provisions in Securities Markets
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