AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 54 Of 82
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Transaction Monitoring: Intermediaries must monitor transactions for suspicious activity.
Record Retention: Records must be retained for 10 years under PML Rules.
Suspicious Transaction Definition: Suspicious transactions lack economic rationale.
Client Identification Procedure: CIP is conducted at account opening and transactions.
Risk Management: Intermediaries must manage ML/TF risks proactively.
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AML and CFT Provisions in Securities Markets
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