AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 61 Of 82
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AML Policy Updates: Policies must be updated to reflect new risks.
Client Due Diligence Process: CDD includes verifying client purpose and identity.
Suspicious Transaction Analysis: Intermediaries analyze transactions for suspicious nature.
SEBI Circular Dates: Key circulars include June 06, 2024, and December 19, 2022.
Record Maintenance: Intermediaries must maintain records per PML Rules.
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AML and CFT Provisions in Securities Markets
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