AML and CFT Provisions in Securities Markets Certification Exam Notes
Page 79 Of 82
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STR Reporting Delays: Delays in STR filing violate PMLA rules.
Client Due Diligence: Inadequate CDD leads to regulatory penalties.
PMLA Section 13: Section 13 empowers FIU-IND to impose fines.
SEBI Adjudication: SEBI adjudicates AML violations under Section 15HB.
Compliance Rectification: Deficiencies must be rectified promptly post-inspection.
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AML and CFT Provisions in Securities Markets
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