1. An asset management company that is a natural person or an asset manager shall
notify the Division in writing if he or she is convicted of, or enters a plea of guilty,
guilty but mentally ill or nolo contendere to, a felony or any offense involving moral
2. An asset management company that is a natural person or an asset manager shall
submit the notification required by subsection 1:
(a) Not more than 10 days after the conviction or entry of the plea of guilty, guilty
but mentally ill or nolo contendere; and
(b) When submitting an application to renew a certificate of registration or permit
issued pursuant to this chapter.
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