Stock broker inspection: brokers must assist inspectors, produce records and allow premises access; inspectors may record statements. Regulation 29 requires stock brokers and their senior management, key managerial personnel and other officers to provide reasonable assistance to inspecting authorities, to produce books, accounts, computer data and other documents in their custody or control, and to furnish statements and transaction information within required time. Stock brokers must allow reasonable access to premises and facilitate examination and copying of records and computer data; the inspecting authority may examine or record statements of members, directors, partners, proprietors, employees and key personnel.
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Provisions expressly mentioned in the judgment/order text.
Stock broker inspection: brokers must assist inspectors, produce records and allow premises access; inspectors may record statements.
Regulation 29 requires stock brokers and their senior management, key managerial personnel and other officers to provide reasonable assistance to inspecting authorities, to produce books, accounts, computer data and other documents in their custody or control, and to furnish statements and transaction information within required time. Stock brokers must allow reasonable access to premises and facilitate examination and copying of records and computer data; the inspecting authority may examine or record statements of members, directors, partners, proprietors, employees and key personnel.
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