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Notifications by Regulators

Circulars issued by SEBI

07.06.2012 - Revision in framework for QFI investment in Equity Shares and mutual fund schemes

23.12.2011 - Guidelines in pursuance of SEBI KRA Regulations,2011 and IPV

02.12.2011 - SEBI KRA Regulations,2011

25.10.2011 - IPV of clients by subsidiaries of stock exchanges,acting as stock brokers

05.10.2011 - KYC requirements for securities market

31.12.2010 - AML Standards / CFT -Obligation of Securities Market Intermediaries under PMLA

14.06.2010 - AML Standards / CFT -Obligation of Securities Market Intermediaries under PMLA

13.11.2009 - Facilitating transactions in Mutual Fund schemes through the Stock Exchange infrastructure

23.10.2009 - CFT under Unlawful Activities (Prevention) Act, 1967 – all registered intermediaries

01.09.2009 - AML Standards/CFT/Obligations of Securities Market Intermediaries

19.12.2008 - SEBI Master Circular on AML and CFT- Obligations of Intermediaries under PMLA

27.04.2007 - Permanent Account Number (PAN) to be the sole identification number

20.03.2006 - Obligations of Intermediaries under PMLA

18.01.2006 - Guidelines for Anti Money Laundering Measures


Notifications issued by RBI

11.03.2013 - Master Circular-AML/CFT Standards

07.03.2013 - KYC norms/AML measures/CFT/Obligtaion of Authorised Persons

27.02.2013 - KYC norms/AML Measures-CFT/Obligtaion of Banks under PMLA,2002

25.02.2013 - KYC norms/AML Measures-CFT/Obligtaion of Banks under PMLA,2002

22.02.2013 - KYC norms/AML measures/CFT Standards-Obligtaion of Authorised Persons under PMLA,2002 as ammended by PMLA ,2009 Money Changing Activities

30.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Banks under PMLA,2002

29.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Banks under PMLA,2002

28.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Banks under PMLA,2002

22.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Banks under PMLA,2002

18.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Banks under PMLA,2002

10.01.2013 - AML standards/CFT standards- Money Changing Activities

10.01.2013 - AML standards/CFT standards- Cross Border Inward Remmitance under MTSS

02.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Authorised Persons under PMLA,2002 as ammended by PMLA (Amendment) Act,2009 Money Changing Activities

02.01.2013 - KYC norms/AML standards/CFT/Obligtaion of Authorised Persons under PMLA,2002 as ammended by PMLA (Amendment) Act,2009

24.09.2012 - KYC norms/AML standards/CFT/Obligtaion of Authorised Persons under PMLA,2002 as ammended by PMLA (Amendment) Act,2009 Money Changing Activities

13.09.2012 - KYC/AML/CFT-Risk Categorization & Updation of Customer ProfileS- Primary (Urban) Co-operative Banks

06.09.2012 - AML/CFT Standards

01.07.2010 - Master Circular on Money Transfer Service Scheme -Obligation of Authorised Person-Agents of MTSS

01.07.2010 - Master Circular – KYC Norms / AML Standards / CFT -Obligation of NBFCs

01.07.2010 - Master Circular KYC Norms/AML Standards/CFT -Obligation of banks under PMLA 2002

01.07.2010 - Master Circular – KYC Norms / AML Standards / CFT -Obligation of banks under PMLA, 2002

29.06.2010-  Prevention of Money-laundering Second Amendment Rules, 2010- Obligation of banks.

15.06.2010-  KYC norms/AML Standards/CFT -Obligation of banks under PMLA 2002

11.06.2010-  KYC norms/AML Standards/CFT -Obligation of banks under PMLA 2002

09.06.2010-  KYC norms/AML Standards/CFT -Obligation of banks under PMLA 2002

05.06.2010-  Prevention of Money-laundering Amendment Rules, 2010- Obligation of banks

26.05.2010 - Authorised Dealer-Remittance towards participation in lottery, money circulation schemes etc.

12.05.2010 - List of Terrorist Individuals/ Organisations under UNSCR 1267(1999) and 1822(2008)

12.05.2010 - KYC guidelines - accounts of proprietary concerns - State & District Cooperative Banks

30.04.2010 - KYC norms/AML Standards/CFT -Obligation of NBFC/RNBC

27.04.2010 - KYC norms/AML Standards/CFT -Obligation of Regional Rural Bank

13.04.2010 - KYC norms/AML Standards/CFT -Obligation of PSO under the Payment & Settlement System Act,2007

26.03.2010 - KYC norms/AML Standards/CFT -Obligation of SCB's/LAB's/AIFI's

26.03.2010 - KYC guidelines - accounts of proprietary concerns - Obligation of SCB's/LAB's/AIFI's

12.01.2010 - Prevention of Money-laundering Amendment Rules, 2009 - Obligation of SCB's/LAB's/AIFI's

16.11.2009 - KYC Norms/AML Standards/CFT-Obligations under PMLA 2002 - UCBs

16.11.2009 - CFT- Unlawful Activities (Prevention) Act, 1967 – Obligation of UCBs

13.11.2009 - KYC Norms/AML Standards/CFT-Obligations under PMLA 2002 - NBFCs

13.11.2009 - Prevention of Money Laundering Act, 2002 – Obligation of Urban Co-operative Banks (UCBs)

05.11.2009 - CFT- Unlawful Activities (Prevention) Act, 1967 – Obligation of RRBs

29.10.2009 - CFT- Unlawful Activities (Prevention) Act, 1967 – Obligation of State and Central Co-operative Banks

30.09.2009 - KYC / AML Standards / CFT / Obligation of State and Central Co-operative Banks

29.09.2009 - KYC Norms / AML Standards and obligation of Regional Rural Banks (RRBs)

17.09.2009 - CFT - Unlawful Activities (Prevention) Act, 1967 – Obligation of scheduled commercial banks

16.09.2009 - Adherence to KYC/AML guidelines-Multi Level Marketing firms - Primary (Urban) Co-operative Banks

11.09.2009 - KYC norms / AML standards/CFT/Obligation of scheduled commercial banks

14.08.2009 - Policy Guidelines for issuance and operation of Prepaid Payment Instruments in India

14.08.2009 - Use of RTGS/NEFT/NECS/ECS – Compliance with FEMA Regulations and Wire Transfer Guidelines

11.08.2009 - List of Terrorist Individuals/Organisations - under UNSCR 1267(1999) and 1822(2008)

01.07.2009 - Master Circular – Foreign Contribution ( Regulation ) Act, 1976

01.07.2009 - Master Circular - Para-banking Activities for all scheduled commercial banks (excluding RRBs)

01.07.2009 - Master Circular – KYC Guidelines – AML Standards for all NBFCs, MNBs, RNBs

01.07.2009 - Master Circular – KYC norms / AML standards/ CFT/Obligation for Scheduled Commercial Banks

23.06.2009 - List of Terrorist Individuals/Organisations - under UNSCR 1267(1999) and 1822(2008)

05.08.2008 - Obligations of NBFCs under PMLA and Counterfeit Currency Report

02.07.2008 - Prevention of Money Laundering Act, 2002 – Obligation for UCBs

01.07.2008 - Master Circular-KYC norms/AML standards/CFT obligation of Banks under PMLA, 2002 (w/o Annexures)

01.07.2008 - Master Circular-KYC norms/AML standards/CFT obligation of Banks under PMLA, 2002 (with Annexures)25.06.2008 - Obligations of State and Central Cooperative Banks under PMLA and Counterfeit Currency Report

18.06.2008 - Obligations of Regional Rural Banks under PMLA and Counterfeit Currency Report

22.05.2008 - Obligations of Banks under PMLA and Counterfeit Currency Report

28.02.2008 - KYC Norms/AML Standards/Combating Financing of Terrorism (CFT)-State and Dist. Central Coop. Banks

27.02.2008 - KYC Norms/AML Standards/Combating Financing of Terrorism (CFT)-Regional Rural Banks

25.02.2008 - KYC Norms/AML Standards/Combating Financing of Terrorism (CFT)-Primary (Urban) Cooperative Banks

18.02.2008 - KYC Norms/AML Standards/Combating Financing of Terrorism (CFT)-Scheduled Commercial Banks

20.04.2007 - Compliance function in Banks

13.04.2007 - KYC Norms/AML Guidelines/Combating Financing of Terrorism- Wire Transfers

16.11.2006 - Compliance function in Banks

26.06.2006 - Anti-Money Laundering Guidelines for Authorized Persons in Foreign Exchange

21.03.2006 - Prevention of Money Laundering Act, 2002 – Obligation of Primary (Urban) Co-operative Banks

09.03.2006 - Prevention of Money Laundering Act, 2002 – Obligation of Regional Rural Banks

03.03.2006 - Prevention of Money Laundering Act, 2002 – Obligation of State and District Central Co-operative Banks

15.02.2006 - Prevention of Money Laundering Act, 2002 – Obligation of Scheduled Commercial Banks excluding RRBs

25.01.2006 - Financial inclusion by Extension of Banking Services – Scheduled Commercial Banks including RRBs

02.12.2005 - Anti-Money Laundering Guidelines for Authorized Money Changers 

21.11.2005 - Credit Card Operations of banks - Commercial Banks/NBFCs (Excluding RRBs)

11.10.2005 - KYC for persons authorized by NBFCs to collect public deposit on behalf of NBFCs

23.08.2005 - KYC guidelines – AML Standards - Scheduled Commercial Banks (Excluding RRBs)

23.08.2005 - KYC guidelines – AML Standards - State and District Central Co-operative Banks

23.08.2005 - KYC guidelines – AML Standards - Regional Rural Banks

23.08.2005 - KYC guidelines – AML Standards – Primary (Urban) Co-operative Banks

21.02.2005 - KYC guidelines – AML Standards – NBFCs, Miscellaneous NBCs, and Residuary NBCs

18.02.2005 - KYC guidelines – AML Standards - State and District Central Co-operative Banks

18.02.2005 - KYC guidelines – AML Standards - Regional Rural Banks

15.12.2004 - KYC guidelines – AML Standards - Primary (Urban) Co-Operative Banks

29.11.2004 - KYC guidelines – AML Standards -Commercial Banks

09.07.2004 - KYC Guidelines -  Compliance -Primary (Urban) Co-Operative Banks

21.06.2004 - Guidelines on KYC Norms – Existing Accounts - Commercial Banks (excluding RRBs)

29.05.2004 - KYC Guidelines -  Compliance - Primary (Urban) Co-Operative Banks

19.02.2003 - Risk Management Systems in Banks -Scheduled Commercial Banks (excluding RRBs and LABs)

16.08.2002 - Guidelines on “Know Your Customer” norms and “Cash transactions” -Commercial Banks



Circulars issued by IRDA

16.06.2010 - Anti Money Laundering Guidelines - Obligation of Insurers

13.05.2010 - Prevention of Money-laundering Amendment Rules, 2010- Obligation of Insurers

28.10.2009 - Guidelines for implementation of Section 51A of Unlawful Activities (Prevention) Amendment Act 09.09.2009 - The Prevention of Money Laundering (Amendment) Act, 2009 for Insurance Companies

24.08.2009 - AML Guidelines for Insurance Companies

18.08.2009 - Requirement of PAN for Insurance Products for Insurers

02.12.2008 - Master Circular on Anti-Money Laundering Programme for Insurers

31.03.2006 - Guidelines of Anti Money Laundering Programme for Insurers

 

Notifications issued by NABARD

23.04.2009 - KYC Guidelines and AML Standards - Obligations of RRBs

23.04.2009 - KYC Guidelines and AML Standards for State Cooperative Banks & District Central Cooperative Banks

17.03.2008 - KYC Guidelines - AML Standards for State Cooperative Banks & District Central Cooperative Banks

28.08.2004 - Guidelines on 'Know Your Customer' Norms - Existing Accounts - RRBs

28.08.2004 - Guidelines on KYC Norms - Existing Accounts - State/District Central Cooperative Banks

15.06.2004 - KYC norms and Cash transactions - Compliance – RRBs

15.06.2004 - KYC norms and Cash transactions - Compliance - State/ District Central Cooperative Banks

14.06.2004 – Customer Information – RRBs

14.06.2004 – Customer Information - State/District Central Cooperative Banks

13.05.2005 - KYC norms and "Cash transactions" – State Cooperative Agriculture & Rural Development Banks

30.04.2003 - Guidelines on "Know Your Customer" norms and "Cash transactions" – RRBs

30.04.2003 - Guidelines on KYC norms and “Cash transactions”- State Co-operative Banks



Circulars issued by National Housing Bank

23.06.2009 - KYC Norms/AML Standards / Combating of Financing of Terrorism (CFT) for Housing Finance Companies

20.02.2009 - KYC Norms/AML Standards / Combating of Financing of Terrorism (CFT) for Housing Finance Companies

25.07.2007 - KYC Guidelines / AML Standards -Reporting System for Housing Finance Companies

17.01.2007 - KYC Guidelines / AML Standards -Reporting System for Housing Finance Companies

10.04.2006 - KYC Guidelines / AML Standards for Housing Finance Companies

31.03.2005 - KYC Guidelines - Identification of customers- for Housing Finance Companies


 
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