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2018 Indiana Code
TITLE 23. Business and other Associations
ARTICLE 19. INDIANA UNIFORM SECURITIES ACT
CHAPTER 4.1. Financially Vulnerable Adult
23-19-4.1-9. Authority of broker-dealers and investment advisers to provide relevant records to protective agencies or law enforcement; records confidential
Universal Citation: IN Code § 23-19-4.1-9 (2018)
IC 23-19-4.1-9 Authority of broker-dealers and investment advisers to provide relevant records to protective agencies or law enforcement; records confidential
Sec. 9. (a) A broker-dealer or investment adviser may provide to protective agencies or law enforcement access to or copies of records that are relevant to the suspected financial exploitation of a financially vulnerable adult. The records may include records relating to:
(1) disbursement of any funds from an account of the financially vulnerable adult; and
(2) disbursements of funds that comprise the suspected financial exploitation of a financially vulnerable adult.
(b) All records made available to the protective agencies under this section are confidential under IC 5-14-3.
As added by P.L.39-2016, SEC.1. Amended by P.L.158-2017, SEC.12.
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