Anti-Money Laundering (AML) Policy
A Copy of AML policy covering the following aspects will be present with Amit Kumar Gupta (PAN: AHEPG5402B), and all its representatives, members and employees all the time and will be followed diligently as per SEBI Research Analyst regulations, 2014
- Details of associates dealing as clients through Amit Kumar Gupta
- Details of business carried out other than in the securities market, if any.
- Whether continuous due diligence and scrutiny is being conducted for the clients?
- Whether client details including financial details are reviewed periodically and updated?
- Whether sufficient information is obtained in order to identify persons who beneficially own or control securities accounts?
- Instances of cash/DD acceptance, if any,
- Names of the clients for whom KYC has not been maintained.
- Names of the clients for whom in-person verification has not been done.
- Details regarding third party payments / receipts of funds; viz. name of client, value involved, date, and account from / to transferred and reason for the same.