Suspension of registration: grounds include violations, false information, non-cooperation, misconduct and failure to meet regulatory obligations. Suspension of registration may be imposed where a portfolio manager breaches regulatory obligations or engages in misconduct, including violations of law or regulations; furnishing false information or failing to provide required information or periodical returns; non-cooperation in enquiries; failure to resolve investor complaints or respond to the Board; market manipulation; conduct contrary to the Code of Conduct; failure to maintain capital adequacy; non-payment of fees; or violation of registration conditions or other specified obligations.
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.
Suspension of registration: grounds include violations, false information, non-cooperation, misconduct and failure to meet regulatory obligations.
Suspension of registration may be imposed where a portfolio manager breaches regulatory obligations or engages in misconduct, including violations of law or regulations; furnishing false information or failing to provide required information or periodical returns; non-cooperation in enquiries; failure to resolve investor complaints or respond to the Board; market manipulation; conduct contrary to the Code of Conduct; failure to maintain capital adequacy; non-payment of fees; or violation of registration conditions or other specified obligations.
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