AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 57 Of 82
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Client Risk Classification: Clients are classified based on ML/TF risk levels.
SEBI Circular Compliance: Intermediaries must comply with SEBI AML circulars.
PEP Identification: Systems must identify clients as politically exposed persons.
Record Confidentiality: Transaction records must remain confidential.
Risk Assessment: New products and services require ML/TF risk assessments.
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AML and CFT Provisions in Securities Markets
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