Inspection report submission required: inspecting authority must promptly transmit inspection findings to the Board under regulatory framework. Regulation 38 requires the inspecting authority to submit an inspection report to the Board as soon as possible, creating a procedural duty of timely ... Summary
Inspection report submission required: inspecting authority must promptly transmit inspection findings to the Board under regulatory framework.
Regulation 38 requires the inspecting authority to submit an inspection report to the Board as soon as possible, creating a procedural duty of timely reporting within the inspection and disciplinary proceedings framework for portfolio managers.
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