Reporting requirement and the consequences defined by SEBI
Reporting requirement, other Consequences and notifcations regarding FATCA CRS by SEBI
Author: admin
Income Tax guidance note 1
The guidance note aims to explain FATCA and CRS reporting requirements in a simple manner in order to assist FI, Banks and other bodies in complying with the reporting regulatory requirements.
Seminar on PMLA with FIU IND
During the PMLA seminar held at BSE, Mr Sagar Tanna speaks on two things:
1) Registering with FIU & 2) Key implementation learnings/experiences for AML in the last 7-8 years.
Reporting requirement notification by RBI
Important Notifications regarding FATCA CRS regulatory reporting purpose by RBI.
Compliance under PMLA by Shri Sagar Tanna (TSS Consultancy Pvt Ltd.)
“As a part of knowledge series by Brokers forum, Mr Sagar Tanna speaks about PMLA – Anti Money Laundering in addition to: 1) Obligations of stock brokers 2) Key items of implemention of good AML program 3) Objectives and specific areas like risk profiling & STR
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Awarded Most promising Compliance Solution Provider in India, by CIO review 2015
Awarded Most promising Compliance Solution Provider in India,
by CIO review 2015
Gazette Notification authorising REs to retrieve the KYC records online from the Central KYC Records Registry by using the KYC Identifier
Notification authorising the REs to retrieve the KYC records online from the Central KYC Records Registry by using the KYC Identifier without requiring a client to submit the same KYC records or information or any other additional identification documents or details
Seminar on The Prevention of Money Laundering Act, 2002 (PMLA)
A PMLA seminar at BSE where Mr Sagar Tanna speaks on the following:
1) Key problems in AML implementation 2) Types of alerts 3) Alert analysis and closure 4) Sample case studies
Master circular on KYC/AML/CFT of Banks and FI
In this circular, the Know Your Customer’ (KYC) guidelines have been revisited in the context of the recommendations made by the Financial Action Task Force (FATF) on Anti Money Laundering (AML) standards and on Combating Financing of Terrorism (CFT).
Research analyst compliance regulations by SEBI
Research analyst regulations issued by SEBI dated 01 Sep 2014. The RAC guidelines require research entities to ensure RA trades are in compliance with trading restrictions for publishing reasearch reports.
