Record retention requirement mandates portfolio managers preserve books and records under applicable regulations for the prescribed period. Portfolio managers are required to preserve the books of account and other records and documents specified under the relevant regulations for a minimum retention period, constituting a continuing compliance obligation to maintain and safeguard statutory and regulatory documentation for regulatory oversight and audit.
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.
Record retention requirement mandates portfolio managers preserve books and records under applicable regulations for the prescribed period.
Portfolio managers are required to preserve the books of account and other records and documents specified under the relevant regulations for a minimum retention period, constituting a continuing compliance obligation to maintain and safeguard statutory and regulatory documentation for regulatory oversight and audit.
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