AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 74 Of 82
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AML Policy Delays: Delays in AML policy implementation attract fines.
PEP Identification: Lack of PEP identification systems violates SEBI guidelines.
Suspicious Transaction Monitoring: Inadequate STR monitoring leads to penalties.
FIU-IND Enforcement: FIU-IND imposes penalties under Section 13 of PMLA.
SEBI Inspections: SEBI conducts inspections to ensure AML compliance.
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AML and CFT Provisions in Securities Markets
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