Certificate of registration conditions require portfolio managers to maintain compliance, redress investor grievances, and obtain approval for control changes. Certificate of registration conditions require a portfolio manager to comply with applicable law, promptly disclose materially false, misleading or ... Summary
Certificate of registration conditions require portfolio managers to maintain compliance, redress investor grievances, and obtain approval for control changes.
Certificate of registration conditions require a portfolio manager to comply with applicable law, promptly disclose materially false, misleading or changed information, and redress investor grievances within twenty-one calendar days while reporting complaint particulars. The portfolio manager must continuously maintain prescribed net worth, secure prior approval for change in control, remain fit and proper, and commence business within the stipulated period after fulfilling Board-specified conditions.
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