Certificate refusal procedure requires a hearing, reasoned communication, and timely reconsideration for portfolio manager registration applicants. Portfolio manager registration certificate refusals require a reasonable opportunity of being heard, followed by communication of the refusal and reasons ... Summary
Certificate refusal procedure requires a hearing, reasoned communication, and timely reconsideration for portfolio manager registration applicants.
Portfolio manager registration certificate refusals require a reasonable opportunity of being heard, followed by communication of the refusal and reasons within thirty days. An applicant may seek reconsideration within thirty days of receiving the communication. The Board must reconsider the request and convey its decision in writing as soon as possible.
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