This has reference to Exchange notice no. 20200915-59 dated September 15, 2020, and 20201021-40 dated October 21, 2020 on Internal Risk Assessment of Registered Intermediaries.
In order to ascertain the adherence to the AML/CFT norms and evaluate the implementation & effectiveness of measures to combat money laundering and terrorist financing, SEBI has advised the Exchanges to collate data/information from the Members relating to client risk categorisation & due diligence, ML/TF risk assessment, Alert Generation System, conduct of AML/CFT related trainings, BO identification, record keeping etc. of all the active Members who have executed trades from April 2021 to March 2022.
Members are required to do the submission through BEFS (BSE Electronic Filing System) > Internal Risk Assessment > IRA Submission. The detailed procedure for submitting the data/information through the module is enclosed herewith as Annexure 1.
All members are advised to ensure the submission on or before March 14, 2023.
In case of any clarifications, members may contact us on details given as under:
For and on behalf of BSE Ltd.
Richa Ghosh Josephine Baretto
Asst. Gen. Manager Manager
Brokers’ Supervision Brokers’ Supervision
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