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Fine in case of money laundering shall extend to Rs 5 lakh and rigorous imprisonment.
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Record of transactions to be maintained under the Prevention of Money Laundering Act includes Cash transactions of the value of more than Rs. 10 lakh.
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In respect of investments in the debt securities, the foreign portfolio investors need not comply with any conditions or directions given by Reserve Bank of India, as long as it is meeting the restrictions and conditions as specified by SEBI in its SEBI (FPI) Regulations.
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To effectively implement the KYC guidelines, SEBI notified the
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KRA shall have secure data transmission links with ______ that uploads the KYC documents on its system.
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Once the initial KYC of the new clients are done, the intermediary shall immediately upload the KYC information on the system of the KRA and send the KYC in
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To effectively implement the KYC guidelines, SEBI notified the SEBI (KYC Registration Agency) Regulations, 2011.
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KRA systems shall clearly indicate the status of clients falling under PAN exempt categories.
Question 9 reset
The Stock broker is required to pre-intimate SEBI about shifting the location where it keeps its books of accounts.
Question 10 reset
The application for registration by a sub-broker is required to be accompanied by a recommendation letter from

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