Securities And Exchange Board Of India - Subsection
Section 31(2) in The Securities and Exchange Board of India (Intermediaries) Regulations, 2008
(2)While disposing a request under this regulation, the Board may require the concerned person to satisfy the Board the factors as it deems fit, including but not limited to the following -(a)the arrangements made by the person for maintenance and preservation of records and other documents required to be maintained under the relevant regulations;(b)redressal of investor grievances;(c)transfer of records, funds or securities of its clients;(d)the arrangements made by it for ensuring continuity of service to the clients;(e)defaults or pending action, if any.
