Glossary

All A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

S

Same-Bank P2M Deemed Approval (OC?39A)

Sanctions and Anti-Money Laundering Act (SAMLA) 2018

Sanctions Compliance

Sanctions Compliance Officer

Sanctions Compliance Program (SCP)

Sanctions Deconfliction

Sanctions Evasion

Sanctions Evasion

Sanctions Evasion

Sanctions MOQ (Minimum Observable Quantity)

Sanctions Policy Exceptions

Sanctions Risk Assessment

Sanctions Scenario Testing

Sanctions Screening

Sanctions Screening

Sanctions Screening

Sanctions Screening ?Grey List?

Sanctions Screening ?White List?

Sanctions Screening Programme

Sanctions Screening Tools

Sanitary and Phytosanitary Measures

Scalability Risk

Scheduled Offence

Scheduled Offence

SDGT (Specially Designated Global Terrorist)

SDN List (Specially Designated Nationals and Blocked Persons List)

Search and Seizure

SEBI (Prohibition of Insider Trading) Regulations, 2015

SEBI PFUTP Regulations, 2003

SEC (Securities and Exchange Commission) Compliance

SEC v. Texas Gulf Sulphur Co.

Secondary Sanctions

Secondary Sanctions

Secrecy Jurisdication

Section 11 ? Minimum Paid-Up Capital & Reserves

Section 12 ? Capital Structure & Voting Rights

Section 15 ? Restriction on Dividend Payment

Section 17 ? Reserve Fund

Section 18 ? Cash Reserve Ratio (CRR)

Section 19 ? Restriction on Subsidiary Companies

Section 206 ? Fraudulent Removal or Concealment of Property to Prevent Its Seizure

Section 207 ? Fraudulent Claim to Property to Prevent Its Seizure

Section 21 ? RBI?s Power to Control Advances

Section 22 ? Licensing of Banking Companies

Section 23 ? Branch Expansion Control

Section 23 ? Opening of New Offices/Branches

Section 24 ? Statutory Liquidity Ratio (SLR)

Section 24 ? Statutory Liquidity Ratio (SLR)

Section 29 ? Accounts and Balance-Sheet

Section 30 ? Audit

Section 31 ? Submission of Returns

Section 311 ? Special Measures Against High-Risk Jurisdictions

Section 312 ? Correspondent and Private Banking Due Diligence

Section 313 ? Prohibition on Shell Bank Correspondent Accounts

Section 313 ? Prohibition on Shell Banks

Section 314(a) ? Government-Financial Institution Info Exchange

Section 314(a) ? Law Enforcement Inquiry to Financial Institutions

Section 314(b) ? Voluntary Info-Sharing Safe Harbor

Section 319(a) ? Forfeiture of U.S. Accounts

Section 319(b) ? Correspondent Account Recordkeeping

Section 319(b) ? Correspondent Account Recordkeeping & Termination

Section 32 ? Copies of Balance-Sheet to Registrar

Section 325 ? Penalties for Money Laundering Violations

Section 326 ? Customer Identification Programs (CIP)

Section 327 ? Enhanced Supervision of Problematic Mergers

Section 33 ? Display of Audited Balance-Sheet by Foreign Banks

Section 35 ? Inspection

Section 352 ? Anti?Money Laundering Programs

Section 356 ? SAR Obligation for Brokers and Dealers

Section 359 ? Mutual Legal Assistance and Extradition

Section 35A ? Directions to Banking Companies

Section 35A ? Directions to Banks by RBI

Section 362 ? Managing Non-Cooperative Jurisdictions

Section 36AA ? Removal of Managerial Personnel

Section 36AE ? Acquisition of Banking Company Undertakings

Section 36AF ? Scheme for Acquired Banks

Section 403 ? Dishonest Misappropriation of Property

Section 403 ? Dishonest Misappropriation of Property

Section 405 ? Criminal Breach of Trust

Section 406 ? Criminal Breach of Trust

Section 409 ? Criminal Breach of Trust by Public Servant, Banker, Merchant, or Agent

Section 415 ? Cheating

Section 418 ? Cheating with Knowledge that Wrongful Loss May Ensue

Section 419 ? Punishment for Cheating by Personation

Section 420 ? Cheating and Dishonestly

Section 421 ? Dishonest or Fraudulent Removal or Concealment of Property to Prevent Distribution Among Creditors

Section 423 ? Dishonest or Fraudulent Execution of Deed of Transfer Containing False Statement of Consideration

Section 424 ? Dishonest or Fraudulent Removal or Concealment of Property

Section 43 ? Civil Liability for Unauthorized Data Actions

Section 43A ? Compensation for Failure to Securesensitive Data

Section 45C ? Transfer of Pending Proceedings

Section 45ZA ? Nomination for Depositors? Money

Section 46 ? Penalties

Section 463 ? Forgery

Section 465 ? Punishment for Forgery

Section 467 ? Forgery of Valuable Security, Will, etc.

Section 468 ? Forgery for Purpose of Cheating

Section 471 ? Using as Genuine a Forged Document

Section 471 ? Using as Genuine a Forged Document

Section 477 ? Fraudulent Cancellation, Destruction, etc., of Will, Authority to Adopt, or Valuable Security

Section 477A ? Falsification of Accounts

Section 477A ? Falsification of Accounts

Section 477A ? Falsification of Accounts

Section 486 ? Selling Goods Marked with a Counterfeit Property Mark

Section 489A ? Counterfeiting Currency Notes or Bank Notes

Section 489A ? Counterfeiting Currency-Notes

Section 489B ? Using as Genuine, Forged or Counterfeit Currency-Notes or Bank-Notes

Section 489C ? Possession of Forged or Counterfeit

Section 489C ? Possession of Forged or Counterfeit Currency-Notes or Bank-Notes

Section 5(b) ? Definition of ?Banking?

Section 56 ? Extension to Cooperative Banks

Section 6 ? Business of Banking Company

Section 65 ? Tampering with Computer Source Documents

Section 66 ? Hacking and Cyber Offences

Section 66B ? Receiving Stolen Digital Resource

Section 66C ? Digital Identity Theft

Section 66D ? Cybercheating via Computer Resources

Section 66E ? Violation of Privacy

Section 66F ? Cyber Terrorism

Section 67 ? Publishing Obscene Material in Electronic Form

Section 67A ? Publishing Sexually Explicit Material

Section 67B ? Publishing Child Pornography

Section 67C ? Intermediary Recording Obligations

Section 68 ? Disobedience to Controller?s Order

Section 69 ? Failure to Assist in Decryption

Section 69A ? Failure to Block Public Access to Information

Section 69B ? Failure to Monitor or Collect Data

Section 70 ? Unauthorized Access to Protected Systems

Section 71 ? Misrepresentation to Controller or Certifying Authority

Section 72 ? Breach of Confidentiality and Privacy

Section 72 ? Privacy Breach Penalty

Section 72A ? Disclosure in Breach of Contract

Section 72A ? Disclosure of Contractual Information

Section 73 ? Publishing Fake Digital Signature Certificate

Section 74 ? Publishing Certificate for Fraudulent Purpose

Section 75 ? Offence Committed Outside India

Section 76 ? Confiscation of Computers and Data

Section 77 ? Enforcement of Penalties along with Other Punishments

Section 77A ? Compounding of Offences

Section 78 ? Investigation Powers

Section 9 ? Non-Banking Assets

Section?320 ? Forfeiture of Foreign Illicit Property

Section?323 ? Enforcement of Foreign Forfeiture Judgments

Section?324 ? Anti-Concentration Account Regulations

Section?325 ? AML Civil Penalties for Violations

Section?371 ? Bulk Cash Smuggling

Sectoral Exposure Matrix

Sectoral Sanctions

Sectoral Sanctions Identifications (SSI) List:

Sectoral Sanctions Lists (Russia/Belarus specific)

Securities Contracts (Regulation) Rules, 1957

Securities Exchange Act of 1934 (Section 10b-5)

Securities Issuance Ban

Security & Confidentiality

Security Safeguards (Section?8)

Security Safeguards & Breach Notification (Section?8)

Sensitive Personal Data (Special Category Data)

Service of Notice

Settlement Agreement

Settlement Proceedings Regulations, 2018

Settling Corporation

Severability Clause

Shell Companies

SHG?Bank Linkage Programme (SHG?BLP)

Ship-to-Ship (STS) Transfer

Short?term Additional Surveillance Measure (ST?ASM)

Significant Data Fiduciary (Section?2(l))

Simplification of Compliance/Nomination & Remuneration Committee

Single Point of Failure (SPOF)

Smart Contract Exploit

Social Control Theory

Social Disorganization Theory

Social engineering

Social Learning Theory

SOE (State-Owned Enterprise)

Software Vulnerability Risk

Source-Based Taxation

SOX (Sarbanes-Oxley Act)

Special Court (PMLA Court)

Special Economic Zone (SEZ) ? FEMA Applicability

Special Investigative Techniques (Article 50)

Specially Designated Nationals and Blocked Persons List (SDN List):

Specific License

Specific Performance

Specified U.S. Person

Specified User Eligibility (2021 Amendment)

Stablecoin Sanctions Risk

Staggered Retry Logic

Stamp Duty Exemption

Standard Contractual Clauses (SCCs)

Statute of Frauds

Stock Brokers+A41) Regulations, 1992

Storage Limitation & Erasure (Section?8 & 10)

Strict Liability

Structuring (Smurfing)

Structuring/Smurfing

Subcultural Theory

Subpoena Duces Tecum

Substantial Acquisition of Shares & Takeovers Regulations, 2011

Substantial Acquisition of Shares & Takeovers Regulations, 2011

Substantial U.S. Owner

Summary Judgment

Supplier Risk Assessment

Supply Chain Risk

Supply Chain Risk Management (SCRM)

Support & Compliance Process (ESCP)

Surrender of Certificates

Suspicious Activity Monitoring

Suspicious Activity Report (SAR)

Suspicious Activity Report (SAR)

Suspicious Activity Report (SAR)

Suspicious Activity Report (SAR) Requirement

Suspicious Transaction Report (STR)

Suspicious Transaction Report (STR)

Suspicious Transaction Report (STR)

SWIFT MT/ISO 20022 Messages

Syria Sanctions