NISM 3A Securities Intermediaries Compliance (Non-Fund) Exam Notes
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Compliance Officer Duties: Ensure adherence to PMLA guidelines.
Reporting Timelines: STRs filed within seven days of suspicion.
Client Screening: Against watchlists for terrorist financing.
PMLA Enforcement: FIU-India enforces compliance with PMLA.
Intermediary Obligations: Implement robust AML programs.
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NISM 3A Securities Intermediaries Compliance
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