Effective - 28 Aug 2009
436.470. Complaint procedure — violation, attorney general may file court action. — 1. Any person may file a complaint with the board to notify the board of an alleged violation of this chapter. The board shall investigate each such complaint.
2. The board shall have authority to conduct inspections and investigations of providers, sellers, and preneed agents and conduct financial examinations of the books and records of providers, sellers, and preneed agents and any trust or joint account to determine compliance with sections 436.400 to 436.520, or to determine whether grounds exist for disciplining a person licensed or registered under sections 333.310 to 333.340, at the discretion of the board and with or without cause. The board shall conduct a financial examination of the books and records of each seller as authorized by this section at least once every five years, subject to available funding.
3. Upon determining that an inspection, investigation, examination, or audit shall be conducted, the board shall issue a notice authorizing an employee or other person appointed by the board to perform such inspection, investigation, examination, or audit. The notice shall instruct the person appointed by the board as to the scope of the inspection, investigation, examination or audit.
4. The board shall not appoint or authorize any person to conduct an inspection, investigation, examination, or audit under this section if the individual has a conflict of interest or is affiliated with the management of, or owns a pecuniary interest in, any person subject to inspection, investigation, examination, or audit under chapter 333 or sections 436.400 to 436.520.
5. The board may request that the director of the division of professional registration, the director of the department of commerce and insurance, or the office of the attorney general designate one or more investigators or financial examiners to assist in any investigation, examination, or audit, and such assistance shall not be unreasonably withheld.
6. The person conducting the inspection, investigation, or audit may enter the office, premises, establishment, or place of business of any seller or licensed provider of preneed contracts, or any office, premises, establishment, or place where the practice of selling or providing preneed funerals is conducted, or where such practice is advertised as being conducted for the purpose of conducting the inspection, investigation, examination, or audit.
7. Upon request by the board, a licensee or registrant shall make the books and records of the licensee or registrant available to the board for inspection and copying at any reasonable time, including, any insurance, trust, joint account, or financial institution records deemed necessary by the board to determine compliance with sections 436.400 to 436.520.
8. The board shall have the power to issue subpoenas to compel the production of records and papers by any licensee, trustee or registrant of the board. Subpoenas issued under this section shall be served in the same manner as subpoenas in a criminal case.
9. All sellers, providers, preneed agents, and trustees shall cooperate with the board or its designee, the division of finance, the department of commerce and insurance, and the office of the attorney general in any inspection, investigation, examination, or audit brought under this section.
10. This section shall not be construed to limit the board's authority to file a complaint with the administrative hearing commission charging a licensee or registrant with any actionable conduct or violation, regardless of whether such complaint exceeds the scope of acts charged in a preliminary public complaint filed with the board and whether any public complaint has been filed with the board.
11. The board, the division of finance, the department of commerce and insurance, and the office of the attorney general may share information relating to any preneed inspection, investigation, examination, or audit.
12. If an inspection, investigation, examination, or audit reveals a violation of sections 436.400 to 436.520, the office of the attorney general may initiate a judicial proceeding to:
(1) Declare rights;
(2) Approve a nonjudicial settlement;
(3) Interpret or construe the terms of the trust;
(4) Determine the validity of a trust or of any of its terms;
(5) Compel a trustee to report or account;
(6) Enjoin a seller, provider, or preneed agent from performing a particular act;
(7) Enjoin a trustee from performing a particular act or grant to a trustee any necessary or desirable power;
(8) Review the actions of a trustee, including the exercise of a discretionary power;
(9) Appoint or remove a trustee;
(10) Determine trustee liability and grant any available remedy for a breach of trust;
(11) Approve employment and compensation of preneed agents;
(12) Determine the propriety of investments;
(13) Determine the timing and quantity of distributions and dispositions of assets; or
(14) Utilize any other power or authority vested in the attorney general by law.
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(L. 2009 S.B. 1)
Structure Missouri Revised Statutes
Title XXVIII - Contracts and Contractual Relations
Chapter 436 - Special Purpose Contracts
Section 436.100 - Definitions.
Section 436.103 - Action for damages or injunction, jurisdiction.
Section 436.105 - Franchisor to have registered agent on file in office of secretary of state.
Section 436.150 - Definitions.
Section 436.157 - Contract for payment of royalties must be in writing, content.
Section 436.159 - Prohibited acts by performing rights society, exception — violations — penalties.
Section 436.163 - Laws applicable only to performing rights societies.
Section 436.215 - Citation of law.
Section 436.218 - Definitions.
Section 436.221 - Director's authority.
Section 436.233 - Sanctioning of certificate of registration, when — complaint procedure.
Section 436.236 - Temporary certificate of registration permitted, when.
Section 436.239 - Application fee — athlete agent fund created — rulemaking authority.
Section 436.248 - Cancellation of contract, when.
Section 436.251 - Records to be retained.
Section 436.254 - Prohibited acts.
Section 436.263 - Violations, penalties.
Section 436.266 - Uniformity considered in applying law.
Section 436.272 - Moneys collected for certain violations to be transferred to general revenue.
Section 436.300 - Private construction work contract payment requirements.
Section 436.303 - Contract provisions — retainage.
Section 436.306 - Security tendered, when.
Section 436.309 - Subcontractor may tender substitute security, when.
Section 436.312 - Substitute security requirements.
Section 436.315 - Withholding of retainage prohibited, when.
Section 436.318 - Release of retainage, payment made.
Section 436.321 - Adjustment in retainage, when.
Section 436.324 - Release of retainage, when.
Section 436.327 - Substantial completion defined.
Section 436.330 - Subcontractor obligations.
Section 436.333 - Unenforceability of contracts entered into after August 28, 2002.
Section 436.336 - Applicability.
Section 436.350 - Definitions.
Section 436.353 - Notice of offer to cure defects by contractor, contents — effect on court actions.
Section 436.362 - Mediation requirements.
Section 436.365 - Law not to restrict or inhibit other remedies or ability to contract.
Section 436.400 - Citation of law — applicability.
Section 436.405 - Definitions.
Section 436.410 - Applicability exceptions.
Section 436.412 - Violations, disciplinary actions authorized — governing law for contracts.
Section 436.415 - Provision of certain services required by provider — seller's duties.
Section 436.430 - Trust-funded preneed contract requirements.
Section 436.440 - Provisions applicable to all preneed trusts.
Section 436.445 - Trustee not to make decisions, when.
Section 436.450 - Insurance-funded preneed contract requirements.
Section 436.455 - Joint account-funded preneed contract requirements.
Section 436.456 - Cancellation of contract, when, procedure.
Section 436.457 - Seller's right to cancel, when, procedure.
Section 436.458 - Alternative provider permitted, when.
Section 436.460 - Seller report to board required, contents — fee — filing of reports.
Section 436.465 - Record-keeping requirements of seller.
Section 436.470 - Complaint procedure — violation, attorney general may file court action.
Section 436.480 - Death or incapacity of purchaser, transfer of rights and remedies, to whom.
Section 436.485 - Violations, penalties.
Section 436.490 - Sale of business assets of provider — report to board required, contents.
Section 436.500 - Sale of business assets by seller, report to board required, contents.
Section 436.505 - Credit life insurance may be offered to purchaser.
Section 436.510 - Seller's failure to make timely payment, effect of — rights of purchaser.