AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 59 Of 82
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Client Record Retention: Records are retained for periods exceeding SEBI requirements.
Third-Party KYC: Third-party KYC must meet PMLA standards.
Suspicious Transaction Criteria: Transactions with unusual complexity are suspicious.
Risk-Based Monitoring: Monitoring must be sensitive to ML/TF risks.
Client Identification: CIP ensures intermediaries know their clients.
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AML and CFT Provisions in Securities Markets
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