Inspection obligations require investment advisers and associates to produce records, cooperate, and submit to oath and document copying. Investment advisers and any associate person must produce books, accounts and other documents in their custody or control and furnish statements and information to the inspecting authority. They must give assistance and cooperation during inspection. The inspecting authority may examine and record statements on oath of employees, directors, partners, principal officer and persons connected with the adviser's activities and may obtain authenticated copies of documents, books and accounts from any person having control or custody.
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Provisions expressly mentioned in the judgment/order text.
Inspection obligations require investment advisers and associates to produce records, cooperate, and submit to oath and document copying.
Investment advisers and any associate person must produce books, accounts and other documents in their custody or control and furnish statements and information to the inspecting authority. They must give assistance and cooperation during inspection. The inspecting authority may examine and record statements on oath of employees, directors, partners, principal officer and persons connected with the adviser's activities and may obtain authenticated copies of documents, books and accounts from any person having control or custody.
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