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Code · Kansas · Chapter 39 — Mentally Ill, Incapacitated And Dependent Persons; Social Welfare

39-1446. Mandatory reporting by broker-dealer or investment advisor.

58 words·~1 min read·/ks/chapter-39/39-1446

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39-1446. Mandatory reporting by broker-dealer or investment advisor. If a qualified person reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted or is being attempted, the broker-dealer or investment adviser shall promptly report the matter to the protective agencies, which may further report the matter as permitted or required by law.
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