№ files_lp_3_process_9_78722
File format: docx
Character count: 3151
File size: 42 KB
Regulatory compliance addendum forming part of a client registration record outlining statutory anti-money laundering and KYC obligations for stock brokers and constituents under Indian law, including identity verification, transaction monitoring, and reporting requirements to national authorities.
Date:
Not specified
Country:
India
Legislation:
Prevention of Money Laundering Act, 2002
Related Legislation:
Income Tax Act; Prevention of Corruption Act
Regulatory Authority:
Securities and Exchange Board of India
Issuing Authority:
Department of Revenue, Ministry of Finance, Government of India
Referenced Notification:
No. GSR 436(E) dated July 1, 2005
Referenced Circulars:
ISD/CIR/RR/AML/1/06 dated January 18, 2006; ISD/CIR/RR/AML/2/06 dated March 23, 2006
Reporting Authority:
Financial Intelligence Unit-India
Document Type:
Compliance Addendum / Key Information Memorandum
Subject:
Anti-Money Laundering and Know Your Client (KYC) Obligations
Applicability:
Stock Brokers and Constituents
Effective Date of Act:
July 1, 2005
Obligations:
Identity Verification; Record Maintenance; Reporting of Suspicious Transactions; Account Freezing in Case of Non-Compliance
Legal Consequence:
Discretion to Reject Application or Freeze Account for Non-Compliance
Status:
Integral Part of Client Registration Form
Amendment Clause:
Subject to Amendments from Time to Time
Price: 8 / 10 USD
The file will be delivered to the email address provided at checkout within 12 hours.
The file will be delivered to the email address provided at checkout within 12 hours.
Don’t have cryptocurrency yet?
You can still complete your purchase in a few minutes:- Buy Crypto in a trusted app (Coinbase, Kraken, Cash App or any similar service).
- In the app, tap Send.
- Select network, paste our wallet address.
- Send the exact amount shown above.
The final amount may vary slightly depending on the payment method.
The file will be sent to the email address provided at checkout within 24 hours.
The product description is provided for reference. Actual content and formatting may differ slightly.
Year:
2021
Region / City:
India
Topic:
Investor Services, KYC, PAN Registration
Document Type:
Form
Organization / Institution:
Securities and Exchange Board of India (SEBI)
Author:
SEBI
Target Audience:
Security holders of listed companies
Period of validity:
Until March 31, 2022
Approval Date:
November 03, 2021
Date of changes:
None
Year:
2023
Region / city:
N/A
Document type:
Form
Organization / institution:
Securities and Exchange Board of India (SEBI)
Author:
N/A
Target audience:
Investors, Registered Transfer Agents (RTAs), and holders of listed company securities
Validity period:
N/A
Approval date:
March 16, 2023
Amendment date:
N/A
Note:
Year
Year:
Not specified
Region / City:
India
Subject:
KYC (Know Your Customer) Requirements for Customs Clearance
Document Type:
Form
Organization / Institution:
FedEx
Author:
Not specified
Target Audience:
Importers/Exporters
Effective Period:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2021
Region / City:
India
Topic:
Investor Services, KYC, PAN Registration
Document Type:
Form
Organization / Institution:
SEBI (Securities and Exchange Board of India)
Author:
SEBI
Target Audience:
Investors in listed companies holding physical securities
Effective Period:
Ongoing
Approval Date:
November 03, 2021
Modification Date:
N/A
Form ISR–1: Request for Registering or Updating PAN, KYC and Related Details for Physical Securities
Year:
2023
Country:
India
Regulatory authority:
Securities and Exchange Board of India (SEBI)
Document reference:
SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37
Date of circular:
March 16, 2023
Document type:
Regulatory form
Purpose:
Registration or updation of PAN, KYC, bank, contact, signature and nomination details
Applicable securities:
Shares, debentures, bonds and other securities of listed companies held in physical form
Applicable entities:
Investors, security holders, Registrars and Transfer Agents (RTAs)
Submission modes:
In-person verification, post, electronic submission with e-sign
Related forms:
ISR–2, ISR–3, SH-13, SH-14
Compliance requirement:
Mandatory furnishing of PAN, KYC and nomination details for processing service requests
Timelines reference:
SEBI circular dated November 26, 2021
Source type:
Statutory regulatory documentation governing investor service requests and compliance procedures for physical securities under SEBI regulations.
Year:
2023
Region / City:
India
Topic:
Anti-Money Laundering, Know Your Customer (KYC)
Document Type:
Policy
Organ / Institution:
Manappuram Finance Limited (MAFIL)
Author:
Operations Department
Target Audience:
Employees, Third-party Agents
Period of Action:
From August 2023
Approval Date:
August 2023
Next Review Date:
July 2024
Date of Last Revision:
July 2023
Year:
Not specified
Region / City:
Not specified
Topic:
Know Your Counterparty (KYC), Responsible Jewellery Council (RJC)
Document Type:
Request for Information
Organization / Institution:
Responsible Jewellery Council (RJC)
Author:
Not specified
Target Audience:
Companies involved in the jewellery industry
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2021
Region / City:
N/A
Theme:
KYC registration, PAN update
Document type:
Form
Institution:
SEBI
Author:
N/A
Target Audience:
Investors holding physical securities in listed companies
Effective period:
N/A
Approval date:
November 03, 2021
Modification date:
N/A
Year:
2021
Region / City:
India
Subject:
PAN and KYC registration and update for physical securities in listed companies
Document Type:
Form
Organization:
SEBI (Securities and Exchange Board of India)
Author:
SEBI
Target Audience:
Security holders, Investors
Validity Period:
Not specified
Approval Date:
November 03, 2021
Date of Changes:
Not specified
Note:
Year
Document Type:
Policy
Contextual Description:
Template for Anti-Money Laundering and KYC policy and procedures.
Year:
2021
Region / City:
India
Topic:
KYC, Bank Regulations, COVID-19
Document Type:
Circular
Organization:
Reserve Bank of India (RBI)
Author:
Prakash Baliarsingh
Target Audience:
Regulated Entities
Period of Validity:
Till March 31, 2022
Approval Date:
December 30, 2021
Modification Date:
N/A
Document Type:
Compliance form
Subject:
Know Your Customer (KYC) due diligence
Organization / Institution:
Financial or regulated institution requesting customer due diligence information
Purpose:
Collection of corporate information and identification of owners, directors and key management
Customer Category:
Corporate customers
Information Sections:
Corporate information; key relationships; regulatory and compliance disclosures; tax and litigation matters; convictions
Ownership Disclosure Threshold:
Owners holding 5% or more
Governance Information:
Board of Directors (independent, executive or non-executive)
Management Information:
Key management personnel
Compliance Topics:
PEP status, public appointments, prior employment, political activity, sanctions and investigations
Required Attachments:
Articles of Agreement, By-Laws, Charters or similar corporate documents
Verification Requirement:
Signature, stamp and page initials required
Use Context:
Customer due diligence and regulatory compliance procedures
Year:
2024
Region / City:
Singapore
Topic:
Anti-Money Laundering, Countering the Financing of Terrorism
Document Type:
Implementation Guidance / Illustrative Templates
Issuing Body:
Institute of Singapore Chartered Accountants (ISCA)
Related Regulations:
Accountants (Prevention of Money Laundering and Financing of Terrorism) Rules 2023
Target Audience:
Professional Accountants and Professional Firms
Previous Updates:
November 2015, June 2017, June 2023
Content Includes:
Customer Due Diligence Flowchart, Client Information Forms, Forms for Beneficial Owners, PEPs, Risk Assessment Examples, Enhanced CDD Examples
Year:
2022
Region / City:
United Kingdom
Topic:
Anti-Money Laundering
Document Type:
Policy & Procedures
Organization:
[Firm Name]
Author:
[Firm Name]
Target Audience:
Accountancy Firms, Money Laundering Reporting Officers (MLROs)
Effective Period:
Ongoing
Approval Date:
[MM/YY]
Date of Changes:
[MM/YY]
Note:
Year
Subject:
Anti-money laundering
Document Type:
Policy
Year:
2021
Region / City:
Not specified
Subject:
Anti-money laundering policies and procedures
Document Type:
Policy
Institution:
Not specified
Author:
Not specified
Target Audience:
Employees, Partners
Period of Validity:
Ongoing
Approval Date:
12 July 2021
Date of Changes:
Not specified
Jurisdiction:
New Zealand
Legal framework:
Anti-Money Laundering and Countering Financing of Terrorism Act 2009
Subject matter:
Money laundering and terrorist financing risk assessment
Document type:
Compliance risk assessment
Sector:
Legal profession
Intended users:
Law firms and legal practitioners
Scope of application:
All partners, employees, and business activities of a law firm
Regulatory context:
Reporting entity obligations under AML/CFT legislation
Relevant authorities:
Department of Internal Affairs; New Zealand Law Society
Risk factors covered:
Business size and complexity; services offered; service delivery methods; client types; geographic exposure; transaction characteristics
Compliance roles referenced:
Money Laundering Compliance Officer; Money Laundering Reporting Officer
Geographic focus:
Domestic and cross-border transactions involving New Zealand
Note:
Year
Subject:
Anti-Money Laundering, Compliance, Financial Regulations
Document Type:
Template
Organization / Institution:
FINRA
Target Audience:
Small Firms, Financial Institutions, Compliance Officers