Portfolio manager inspection obligations require timely production of records, premises access, statements, and reasonable assistance during regulatory examination. Portfolio managers and their directors, partners, officers and employees must produce relevant books, accounts and documents, and furnish information ... Summary
Portfolio manager inspection obligations require timely production of records, premises access, statements, and reasonable assistance during regulatory examination.
Portfolio managers and their directors, partners, officers and employees must produce relevant books, accounts and documents, and furnish information concerning portfolio-management activities within the required time. They must permit reasonable access to relevant premises and records, including computer data, provide copies of material relevant to inspection, and facilitate examination or recording of statements. All such persons must provide reasonable assistance connected with the inspection.
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