Inspection cooperation obligations: depository participants must produce records, grant access, and assist inspecting officers during regulatory inspections. Designated depository participants must produce books, records, securities, accounts and other documents and furnish statements and information as the inspecting officer requires within reasonable time, grant reasonable access to premises and facilities for examining books, records and computer data, provide copies of relevant materials, and permit examination or recording of statements of any director, officer or employee while giving all reasonable assistance to the inspecting officer.
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 cooperation obligations: depository participants must produce records, grant access, and assist inspecting officers during regulatory inspections.
Designated depository participants must produce books, records, securities, accounts and other documents and furnish statements and information as the inspecting officer requires within reasonable time, grant reasonable access to premises and facilities for examining books, records and computer data, provide copies of relevant materials, and permit examination or recording of statements of any director, officer or employee while giving all reasonable assistance to the inspecting officer.
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