ACTION IN CASE OF DEFAULT AND MANNER OF SUSPENSION OR CANCELLATION OF CERTIFICATE - Securities and Exchange Board of India (Intermediaries) Regulations, 2008
ACTION IN CASE OF DEFAULT AND MANNER OF SUSPENSION OR CANCELLATION OF CERTIFICATE - Securities and Exchange Board of India (Intermediaries) Regulations, 2008
Inspection obligations require intermediaries to produce records and cooperate fully with inspecting authorities during regulatory inspections. Intermediaries must produce books, accounts, records including telephone and electronic records and documents, furnish statements and information as ... Summary
Inspection obligations require intermediaries to produce records and cooperate fully with inspecting authorities during regulatory inspections.
Intermediaries must produce books, accounts, records including telephone and electronic records and documents, furnish statements and information as required, allow reasonable access to premises, facilitate examination of records and provide copies of relevant material; inspecting authorities may examine or record statements of officers and others, and all specified persons must provide reasonable assistance during inspections.
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