AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 58 Of 82
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Client Due Diligence Timing: CDD is conducted at account opening and periodically.
Suspicious Transaction Reports: STRs include attempted transactions.
High-Risk Client Monitoring: High-risk clients require enhanced transaction scrutiny.
AML Policy Implementation: AML policies must be implemented promptly.
FIU-IND Contact: FIU-IND’s contact details are provided for reporting.
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AML and CFT Provisions in Securities Markets
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