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.
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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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