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of <h1>SEBI inspections: stock brokers' mandatory cooperation duties u/reg 29, including records access and staff statements</h1> Regulation 29 prescribes mandatory cooperation duties of a stock broker and its senior management, key managerial personnel, directors, proprietors, partners, officers, and employees during an inspection by SEBI. They must provide all reasonably expected assistance, produce books, accounts, computer data and other documents within their custody or control, and furnish statements and information relating to securities market transactions within the required time, with the consequence that the inspecting authority can obtain timely records and information. The stock broker must permit reasonable access to its premises and provide reasonable facilities for examination, including supplying copies of requested materials, enabling on-site verification and document extraction. The inspecting authority is entitled to examine or record statements of specified persons during the inspection, facilitating fact-finding through recorded testimony.
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