AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 68 Of 82
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KYC Record Storage: CKYCR stores and retrieves KYC records.
Digital Signature: KYC documents can be signed electronically.
Client Due Diligence Timing: CDD is conducted at account opening.
High-Risk Client Monitoring: CSCs require enhanced scrutiny.
KRA Compliance: Stock exchanges monitor KYC compliance via audits.
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AML and CFT Provisions in Securities Markets
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