AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 60 Of 82
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SEBI Oversight: SEBI monitors compliance through audits and inspections.
Record Retrieval: Records must be easily retrievable for authorities.
Non-Profit KYC: Non-profits require additional KYC documentation.
Transaction Reporting: STRs are reported to higher authorities within intermediaries.
High-Risk Client Categories: CSCs include PEPs, NRIs, and NGOs.
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AML and CFT Provisions in Securities Markets
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