Inspection powers enable regulatory appointment of inspectors to examine research analysts' records to ensure compliance and investor protection. Board may suo motu or on information or complaint appoint inspectors to examine the books of account, records and documents of a research analyst or research entity to ensure records are maintained as required, investigate complaints relating to research activities, ascertain compliance with the Act and these regulations, and inspect affairs in the interest of market integrity and investor protection.
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 powers enable regulatory appointment of inspectors to examine research analysts' records to ensure compliance and investor protection.
Board may suo motu or on information or complaint appoint inspectors to examine the books of account, records and documents of a research analyst or research entity to ensure records are maintained as required, investigate complaints relating to research activities, ascertain compliance with the Act and these regulations, and inspect affairs in the interest of market integrity and investor protection.
Full Summary is available for active users!
Note: It is a system-generated summary and is for quick reference only.
TaxTMI 
of 
Join Channel
TaxTMI 
