The module comprehensively outlines the framework for Name Screening, detailing who must be screened, the stages at which screening should occur, and the key watchlists involved, including sanctions lists, PEP lists, adverse media, and internal watchlists.

It explains the different alert types, escalation protocols, and STR filing requirements, while clearly delineating the responsibilities of Branch staff, KYC teams, and AML teams, with a strong emphasis on proper documentation, maintenance of audit trails, and adherence to regulatory reporting obligations.

The module also highlights operational challenges such as handling common names, managing alert fatigue, and mitigating risks arising from digital onboarding processes.

Given that every Reporting Entity is required to implement effective name screening controls, the program underscores its critical role in preventing money laundering, terrorist financing, and sanctions violations.

Overall, the training reinforces that Name Screening is a legal and regulatory obligation under the PMLA and RBI KYC Master Directions. It emphasizes the need for strong governance, technology integration, timely escalation, and a culture of compliance across the organization.

About the Trainer

Himanshu Vasa

Empaneled Trainer

Himanshu Vasa is Former President & Chief Compliance Officer (CCO) of Kotak Mahindra Bank with over 34 years of strategic and operational leadership in banking, financial services, and consulting. His expertise in corporate governance, regulatory compliance, enterprise risk management, and strategic transformation and ability to resolve regulatory and operational challenges has earned him the Certificate of Recognition of Excellence at the CFO 100 awards function for 7 consecutive years.