Inspection notice rules allow advance notice with exception for imminent record destruction and grant broad access and production powers. Service providers must be given a notice of inspection at least ten days before inspection, unless the Inspecting Authority records reasons to dispense with notice to prevent undue delay or risk to records. The Inspecting Authority may require pre-inspection records, conduct on-site visits, examine and record statements of associated persons, access premises occupied by the service provider or others on its behalf, and require production and copying of relevant records. Service providers and associated persons have a duty to produce records, provide information and assistance within required timeframes.
Cases where this provision is explicitly mentioned in the judgment/order text; may not be exhaustive. To view the complete list of cases mentioning this section, Click here.
Provisions expressly mentioned in the judgment/order text.
Inspection notice rules allow advance notice with exception for imminent record destruction and grant broad access and production powers.
Service providers must be given a notice of inspection at least ten days before inspection, unless the Inspecting Authority records reasons to dispense with notice to prevent undue delay or risk to records. The Inspecting Authority may require pre-inspection records, conduct on-site visits, examine and record statements of associated persons, access premises occupied by the service provider or others on its behalf, and require production and copying of relevant records. Service providers and associated persons have a duty to produce records, provide information and assistance within required timeframes.
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