NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Principal Officer: Appointed to oversee AML compliance.
AML Policies: Intermediaries maintain anti-money laundering policies.
Client Risk Assessment: Categorize clients as low, medium, or high risk.
Suspicious Transaction Reports (STRs): Filed with FIU-India promptly.
Record Keeping: Include client identity and transaction details.
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NISM 3A Securities Intermediaries Compliance
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