Inspection cooperation obligations require fund management entities and associated persons to furnish records, permit access, and assist examination. Inspections of Fund Management Entities require the FME and its associated officers, personnel and agents to cooperate fully, furnish books of account, ... Summary
Inspection cooperation obligations require fund management entities and associated persons to furnish records, permit access, and assist examination.
Inspections of Fund Management Entities require the FME and its associated officers, personnel and agents to cooperate fully, furnish books of account, records, documents, statements and activity-related information within the specified time, and permit reasonable access to premises. Relevant copies and examination facilities must be provided. The Inspecting Authority may examine or record statements of specified associated persons, each of whom must provide the assistance required for the inspection.
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