Board inspection powers permit appointment of inspectors to examine investment advisers' books for compliance and investor protection. Board inspection powers permit the appointment of one or more inspecting authority, suo motu or on receipt of information or complaint, to inspect the books of accounts, records and documents of investment advisers to ensure records are maintained as required, investigate client or other complaints affecting adviser activities, ascertain compliance with the Act and these Regulations, and inspect an adviser's affairs in the interest of the securities market or investors.
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.
Board inspection powers permit appointment of inspectors to examine investment advisers' books for compliance and investor protection.
Board inspection powers permit the appointment of one or more inspecting authority, suo motu or on receipt of information or complaint, to inspect the books of accounts, records and documents of investment advisers to ensure records are maintained as required, investigate client or other complaints affecting adviser activities, ascertain compliance with the Act and these Regulations, and inspect an adviser's affairs in the interest of the securities market or investors.
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