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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.