Securities And Exchange Board Of India - Subsection
Section 13(2) in Securities and Exchange Board of India {KYC (Know Your Client) Registration Agency} Regulations, 2011
(2)While disposing a surrender request under these regulations, the Board may require the KRA to satisfy the Board about the factors, as it deems fit, including but not limited to the following -(a)the arrangements made by KRA for maintenance and preservation of records and other documents required to be maintained under these regulations;(b)redressal of investor grievances;(c)transfer of records of its clients;(d)the arrangements made by it for ensuring continuity of service to the clients;(e)defaults or pending action, if any.
