Sucheta Dalal :
Sucheta Dalal

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Ann Gill Sep, 2010

Subject:SEBI crackdown on financial institutions (FI)
Feedback : Dear Sucheta,

I have spent days sercing various sites, including SEB,I for regulatory actions by SEBI against FI. Specifically, I am looking for any action relating to prevention of Money Laundering Act and KYC. please could you help and point me in the right direction?

I know there were actionsagaist Barclays bank and societe General. I need to understand what sort of action plan was expected from this FI to enusre compliance and also what were the fine,s if any.

I am most grateful for any help that you may be able to provide

Kind regards


-- Sucheta Dalal