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Internal Controls and Compliance Overview by piyush.scorp is a document available to read on EtoBox.

What is Internal Controls and Compliance Overview about?

The document outlines the internal controls and compliance measures of KIFS Securities Pvt. Ltd., including client code modifications, PMLA compliance, client registration processes, and fund management. It details the procedures for accepting and executing orders, handling securities, and maintaining records, emphasizing adherence to regulatory requirements. Additionally, it discusses risk management practices and the handling of dormant accounts to ensure proper client account management.

Author

piyush.scorp

Language

EN