Course Duration: 57 minutes
Course Points: 55
Siva Ramann, Managing Director & CEO, National E-Governance Services Ltd (NESL) & Former Executive Director, Securities and Exchange Board of India (SEBI) talked about Risk Based Supervision for Securities Sector. He talked about how hygiene based regulation among regulated intermediaries will lead to better discipline among their staff. He also mentioned that capital market regulators should put in place systems to track granular fund movements and employ sophisticated surveillance technology backed by a data warehouse.
This presentation was part of the AMLC-Fintelekt AML/CTF Summit Philippines 2020, conducted virtually from November 23rd – 27th, 2020.