Circulars
 Published Date: 08 October 2018

CMI 02/2015 Circular to Broker-Dealers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct

Circular to Broker-Dealers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct
Applies to: Dealing in Capital Markets Products , Securities Crowdfunding
View Document CMI 02/2015 Circular to Broker-Dealers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct (414.6 KB)
This circular was issued following a series of thematic inspections carried out between 2014 and 2015 which covered licensed brokers and dealers, with regard to their AML/CFT practices, handling of customers’ moneys and assets, record keeping, and trading processes and controls. It sets out common findings, and good practices observed during the inspections.