AML and CFT Provisions in Securities Markets Certification Exam Notes
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Suspicious Transaction Alerts: Ignoring alerts from exchanges violates regulations.
AML Policy Implementation: Timely AML policy adoption is mandatory.
Inspection Findings: SEBI inspections identify AML compliance gaps.
STR Closure: Closing STRs without reasons violates PMLA.
Delayed Compliance: Delayed rectification of deficiencies incurs penalties.
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AML and CFT Provisions in Securities Markets
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