Indiana Code 23-19-4.1-10. Training resources for broker-dealers, investment advisers, and qualified individuals; availability on secretary of state’s web site
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Sec. 10. Not later than September 1, 2017, the commissioner shall develop and make available on the secretary of state‘s Internet web site information that includes training resources to assist broker-dealers, investment advisers, and qualified individuals in the prevention and detection of financial exploitation of financially vulnerable adults. The training resources must include information on:
(2) the potential steps broker-dealers, investment advisers, and qualified individuals can take, under Indiana law, to prevent suspected financial exploitation of financially vulnerable adults.
(1) indicators of financial exploitation of financially vulnerable adults; and
Terms Used In Indiana Code 23-19-4.1-10
- Commissioner: means the securities commissioner appointed under IC 23-19-6-1(a). See Indiana Code 23-19-1-2
- financial exploitation: means the wrongful or unauthorized taking, withholding, appropriation, or use of money, real property, or personal property of a financially vulnerable adult. See Indiana Code 23-19-4.1-1
- State: means a state of the United States, the District of Columbia, Puerto Rico, the United States Virgin Islands, or any territory or insular possession subject to the jurisdiction of the United States. See Indiana Code 23-19-1-2
As added by P.L.39-2016, SEC.1. Amended by P.L.158-2017, SEC.13.