Inspection obligations require portfolio managers to produce records and provide full access for regulatory examination. Regulation 26 requires portfolio managers and their directors, partners, officers and employees to produce books, accounts and other documents and to furnish statements and information to the inspecting authority; to permit reasonable access to premises and facilities for examination of books, records, documents and computer data; to provide copies of material deemed relevant by the inspecting authority; and to allow examination or recording of statements of personnel and to give all reasonable assistance in connection with the inspection.
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 obligations require portfolio managers to produce records and provide full access for regulatory examination.
Regulation 26 requires portfolio managers and their directors, partners, officers and employees to produce books, accounts and other documents and to furnish statements and information to the inspecting authority; to permit reasonable access to premises and facilities for examination of books, records, documents and computer data; to provide copies of material deemed relevant by the inspecting authority; and to allow examination or recording of statements of personnel and to give all reasonable assistance in connection with the inspection.
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