AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 62 Of 82
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Client Risk Management: Risk-based approaches mitigate ML/TF risks.
KYC Guidelines: SEBI mandates KYC for all intermediaries at account opening.
Proof of Identity: PoI includes Aadhaar, passport, or voter ID.
Proof of Address: PoA includes utility bills or Aadhaar.
Permanent Account Number: PAN is mandatory for securities market participants.
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AML and CFT Provisions in Securities Markets
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