(1) A broker-dealer or investment adviser shall provide access to or copies of records
that are relevant to the suspected or attempted financial exploitation of a vulnerable
person to the department of public health and human services provided for in 2-15-2201 and to law enforcement, either as part of a referral to the department or to law
enforcement or on request of the department or law enforcement pursuant to an investigation. The records may include historical records as well as records relating to the most
recent transaction that may constitute financial exploitation of the vulnerable person.
(2) All records made available pursuant to this section are confidential information
as defined in 2-6-1002.
(3) Nothing in this section limits or otherwise impedes the authority of the commissioner
to access or examine the books and records of broker-dealers and investment advisers
as otherwise provided by law.
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