AML and CFT Provisions in Securities Markets Certification Exam Notes
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Principal Officer Role: Principal Officers must handle STRs effectively.
PMLA Violations: Violations of PMLA result in monetary penalties.
Case Findings: Cases highlight deficiencies in AML/CFT mechanisms.
SEBI Circular Compliance: Intermediaries must comply with SEBI AML circulars.
Penalty Proportionality: Penalties are proportional to the violation’s severity.
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AML and CFT Provisions in Securities Markets
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