AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 56 Of 82
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Client Record Updates: Client records must be updated periodically.
Suspicious Transaction Monitoring: Systems must detect and report suspicious activity.
Non-Profit Organizations: Non-profits require DARPAN Portal registration.
Enhanced Due Diligence: Enhanced CDD is required for high-risk clients.
Transaction Records: Records must be available to investigating authorities.
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AML and CFT Provisions in Securities Markets
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