Inspection report submission required: inspecting authority must promptly transmit inspection findings to the Board under regulatory framework. Regulation 38 requires the inspecting authority to submit an inspection report to the Board as soon as possible, creating a procedural duty of timely reporting within the inspection and disciplinary proceedings framework for portfolio managers.
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 report submission required: inspecting authority must promptly transmit inspection findings to the Board under regulatory framework.
Regulation 38 requires the inspecting authority to submit an inspection report to the Board as soon as possible, creating a procedural duty of timely reporting within the inspection and disciplinary proceedings framework for portfolio managers.
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