RRBP Advisors

CMI, AML/CFT & KYC Audits

CMI, AML/CFT & KYC Audits

CMI, AML/CFT & KYC Audits

Capital Market Intermediaries compliance audit, AML and CFT framework testing, and KYC review against the IFSCA guidelines and the PMLA.

CMI, AML/CFT & KYC Audits
Scope of work

Capital Market Intermediaries compliance audit, AML and CFT framework testing, and KYC review measured against IFSCA guidelines and the PMLA.

CMI compliance audit

  • IFSCA Capital Market Intermediaries compliance audit
  • Broker-dealers, investment advisers, research analysts and distributors
  • Periodic audit reports and submission to IFSCA
  • Gap assessment against IFSCA circulars and directions

AML, CFT & KYC

  • AML and CFT framework audit against the IFSCA guidelines and the PMLA
  • KYC and customer due-diligence testing
  • Risk categorisation and sanctions screening review
  • FIU-IND registration and STR/CTR reporting support

Officers & training

  • Principal officer and designated director support
  • AML training for staff and board
  • Compliance officer support and record maintenance
  • Remediation and closure tracking

Portal coverage: IFSCA reporting portals · FIU-IND FINnet · India INX · NSE IFSC · IIBX.