Furnishing further information and personal representation required for investment adviser registration to enable application consideration. The regulator may require an applicant to furnish additional information or clarification on matters relevant to investment advisory services and may require the applicant or an authorised representative to appear for personal representation as procedural prerequisites to consideration of a registration application.
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.
Furnishing further information and personal representation required for investment adviser registration to enable application consideration.
The regulator may require an applicant to furnish additional information or clarification on matters relevant to investment advisory services and may require the applicant or an authorised representative to appear for personal representation as procedural prerequisites to consideration of a registration application.
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