Disclosures to the Board: portfolio managers must provide portfolio management details and net worth information on request. The Board may require portfolio managers to disclose particulars regarding portfolio management, changes to previously furnished information affecting their certificate, names of clients whose portfolios they manage, and particulars evidencing compliance with the applicable net worth requirement.
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.
Disclosures to the Board: portfolio managers must provide portfolio management details and net worth information on request.
The Board may require portfolio managers to disclose particulars regarding portfolio management, changes to previously furnished information affecting their certificate, names of clients whose portfolios they manage, and particulars evidencing compliance with the applicable net worth requirement.
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