Curriculum NISM Series XXIV AML and CFT Provisions in Securities Markets Certification Examination
I: Introduction to Anti Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)
A. Introduction
B. Process of Money Laundering
C. Global initiatives towards Anti Money Laundering Laws
D. Indian initiatives towards Anti Money Laundering Laws
II: Prevention of Money Laundering Act, 2002
A. Prevention of Money Laundering Act, 2002 (PMLA)
B. Maintenance of records and furnishing of reports to FIU-IND
C. Main Authorities entrusted for investigations
III: The Prevention of Money-laundering (Maintenance of Records) Rules, 2005
A. Introduction to the Prevention of Money-laundering (Maintenance of Records) Rules, 2005
B. Maintenance of Records of Transactions
C. Digital Know Your Customer (KYC) Procedure
IV: Scheduled Offences
A. The Concept of Offence
B. List of Scheduled Offences
V: Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF) Guidelines
A. Introduction to AML & CFT Guidelines
B. The AML/CFT/PF Guidelines
VI: SEBI Guidelines for Anti Money Laundering (AML) Standards, Combating the Financing of Terrorism (CFT) and Proliferation Financing (PF)
A. Introduction to SEBI Guidelines on AML, CFT and PF
B. Written Anti Money Laundering Procedures
VII: SEBI Guidelines for KYC Norms in Securities Market
A. SEBI guidelines for KYC norms
B. Features for online KYC App of the Intermediary
C. KYC for SARAL Account Opening Form for resident individuals
D. Know Your Client (KYC) Registration Agency
E. Guidelines for Intermediaries
VIII: Discussion on PMLA related Cases
A. FIU-IND V/S Way2Wealth Brokers Private Limited
B. SEBI V/S SKSE Securities Limited
C. SEBI V/S Raima Equities Private Limited
D. SEBI vs Marfatia Stock Broking Private Limited
E. SEBI vs. Shreepati Holdings & Finance Pvt. Ltd.
F. BOI Shareholding Limited (BOISL) v/s SEBI
G. FIU-IND vs Paytm Payments Bank Limited
H. FIU-IND vs Virtual Digital Asset Service Provider Bybit Fintech Limited (Bybit)
