Inspection cooperation duty: research analysts and associates must produce records and submit to examination during inspections. Regulation 29 requires research analysts, research entities and associate persons to produce books, accounts and other documents, furnish statements and ... Summary
Inspection cooperation duty: research analysts and associates must produce records and submit to examination during inspections.
Regulation 29 requires research analysts, research entities and associate persons to produce books, accounts and other documents, furnish statements and information, and extend all assistance and cooperation to the inspecting authority during an inspection; the inspecting authority may examine persons on oath and obtain authenticated copies of documents from anyone in custody or control of such records.
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