AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 72 Of 82
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Client Record Maintenance: Electronic KYC records reduce physical storage needs.
Way2Wealth Case: Way2Wealth failed to file STRs, incurring a ₹1 lakh penalty.
SKSE Securities: SKSE delayed AML policy implementation, fined ₹2 lakh.
Raima Equities: Raima lacked a PEP identification system, fined ₹2 lakh.
Marfatia Case: Marfatia’s procedural lapses did not warrant a penalty.
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AML and CFT Provisions in Securities Markets
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