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.
Structure Indiana Code
Title 23. Business and Other Associations
Article 19. Indiana Uniform Securities Act
Chapter 4.1. Financially Vulnerable Adult
23-19-4.1-1. "Financial Exploitation"
23-19-4.1-2.1. "Financially Vulnerable Adult"
23-19-4.1-3. "Immediate Family Member"
23-19-4.1-4. "Protective Agencies"