§ 11-51-1007 — Records

Colorado § 11-51-1007

• Jurisdiction: Colorado
• Title 11: Financial
• Art.: Securities

Text

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 an eligible adult to agencies charged with administering
state adult protective services laws and to law enforcement, either as part of a
referral to the agency or to law enforcement, or upon request of the agency or law
enforcement pursuant to an investigation. The records may include historical
records as well as records relating to the most recent transaction or transactions
that may comprise financial exploitation of an eligible adult. All records made
available to agencies under this section are not public records as defined in part 2
of article 72 of title 24. Nothing in this section limits or otherwise impedes the
authority of the state securities commissioner to access or examine the books and
records of broker-dealers and investment advisers as otherwise provided by law.

Legislative History

Source: L. 2017: Entire part added, (HB 17-1253), ch. 289, p. 1607, � 2, effective July 1.