Guideline on the Prevention of Money Laundering and Terrorism Financing in the Capital Markets
Kenya, The National Treasury and Planning
This guideline outlines the procedures for customer identification; customer due diligence; record keeping; new technology and non-face to face transactions; reporting requirements; the role of the capital market authority; internal policies, compliance and training requirements; audit; tipping off; reliance on third parties and combating the financing of terrorism.
Process Flow
Guideline on the Prevention of Money Laundering and Terrorism Financing in the Capital Markets Current Version
January 2022
This guideline outlines the procedures for customer identification; customer due diligence; record keeping; new technology and non-face to face transactions; reporting requirements; the role of the capital market authority; internal policies, compliance and training requirements; audit; tipping off; reliance on third parties and combating the financing of terrorism.
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