Inspection access: portfolio managers must provide documents, premises access and employee cooperation to inspecting authorities during inspections. Directors, partners, officers and employees must produce books, accounts and information as required by the inspecting authority; the portfolio manager must allow reasonable access to premises, facilities for examining records and computer data, and provide copies of materials deemed relevant. The inspecting authority may examine or record statements of key personnel, and all such persons must give 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 access: portfolio managers must provide documents, premises access and employee cooperation to inspecting authorities during inspections.
Directors, partners, officers and employees must produce books, accounts and information as required by the inspecting authority; the portfolio manager must allow reasonable access to premises, facilities for examining records and computer data, and provide copies of materials deemed relevant. The inspecting authority may examine or record statements of key personnel, and all such persons must give reasonable assistance in connection with the inspection.
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