Fwd: [ANMI-Compliance] Fw: NCDEX - Details of AML-CFT Training Programs

[Dr Naresh Maheshwari]

 Dear all 

Anything in pipeline 

---------- Forwarded message ----------
From: compliance <compl...@rudrashares.com>
Date: Fri, Jun 9, 2017 at 11:50 AM
Subject: [ANMI-Compliance] Fw: NCDEX - Details of AML-CFT Training Programs
To: Broker...@googlegroups.com, anmi-co...@googlegroups.com
Cc: sunil....@rudrashares.com, vinod....@rudrashares.com

Dear Sir/Madam,

 

As all we know that by the direction of Ministry & SEBI, Exchanges are requiring details in prescribed attached format about AML-CFT Training of employees with survey report for last 3 FY, but there is no any clarification about type and format of survey report and also whether it is compulsory in case all employees have taken the said training and all are familiar with AML/CFT guidelines.

 

If any one have any idea or any latest update about the same, please share it for benefit of all of us.

 

With Thanks and Regards,

    

 

 

Sumit Kumar Gupta

(Asst. Vice President)

Rudra Shares & Stock Brokers Ltd.

Formerly known as : Gigantic Securities Ltd.

Member : NSE, BSE,MCX, NCDEX | DP : CDSL

Rudra House, 15/63, Civil Lines, Kanpur–208001

Ph.: 0512-6711000 (30 Lines)

 

www.rudrashares.com

 

        

 

Group Company :

Rudra Real Estate Ltd. (Builders & Developers)

Delhi-NCR, Lucknow, Allahabad, Kanpur, Varanasi.

www.rudra.ooo

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From: ASKUS /NCDEX

Sent: Thursday, June 08, 2017 7:26 PM

Subject: NCDEX - Details of AML-CFT Training Programs

Dear Member,

 

Department of Economic Affairs-Ministry of Finance (DEA-MoF) sought the details of AML-CFT training programs conducted during FY 2014-15, 2015-16 and 2016-17 respectively in the format provided by DEA-MoF. SEBI vide email dated June 1, 2017, has asked the Exchange to provide the details as sought by Department of Economic Affairs-Ministry of Finance with regard to the Stock Brokers and Commodity Stock Brokers.

 

You are requested to upload all the details on priority as per the revised attached format on or before June 14, 2016. Please read the instructions given in the file before filling the information and ignore if already submitted.

 

Further, details to be submitted as per the procedure mentioned below:

 

a.     Login to Web Extranet using existing member id and password

b.    Click on Upload button

c.     Select Folder Name as "AML_CFT_Training” and click Submit

d.    Browse the appropriate file and click on Submit File button

 

 

In case you require any further assistance or clarification, please contact Customer Service Group Toll Free Number: 1800-26-62339.

 

 

Thanks and Regards,

 

NCDEX LTD.

Customer Service Group

Toll Free Number: 1800-26-62339

FAX Number: +91-022-6647 3201.

Add: 1st Floor, Akruti Corporate Park, LBS Road,

Kanjurmarg (W), Mumbai -78.

Email : as...@ncdex.com

Website: http://www.ncdex.com

Connect us through Twitter @ncdex

 

'

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With Warm Regards

Dr. Naresh Maheshwari

Past President ANMI, CPAI, DPAI

Chairman Farsight Group

+91 9810011589,  7678669920, +91 11-45044455