Guideline 2015 status not recorded
Guidelines on the Prevention of Money Laundering and Terrorism Financing in the Capital Markets (Gazette Notice No. 1421)
Issued by Capital Markets Authority
Plain-English summary
Issued by the CMA under section 12A(1) of the Capital Markets Act and dated 15 December 2015. They apply to licensed or approved market intermediaries, including collective investment scheme managers, and require board-approved AML/CFT policies, risk-based due diligence, record keeping for at least seven years, reporting of suspicious and large cash transactions to the Financial Reporting Centre and staff training. The CMA also posts 2023 AML/CFT risk-based approach guidance and 2025 circulars on CDD, PEPs and beneficial ownership.
Who it applies to
Capital Markets
Topics
AML / CFT / Sanctions
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