AML and CFT Provisions in Securities Markets Certification Exam Notes
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SEBI Oversight: SEBI monitors intermediaries for AML compliance.
STR Monitoring Systems: Robust STR monitoring systems are mandatory.
Penalty Factors: Penalties consider violation severity and compliance history.
AML Policy Adoption: Intermediaries must adopt AML policies within 30 days.
Suspicious Transaction Reports: STRs include attempted transactions.
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AML and CFT Provisions in Securities Markets
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