(a) 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 the Commissioner, adult protective agency of competent jurisdiction, or law enforcement pursuant to an investigation. Such records may include historical records and records pertaining to a disbursement or transaction related to the suspected or attempted financial exploitation of an eligible adult. Records made available under this Code section shall not be public records and shall not be available for public examination. (b) Nothing in this Code section shall limit or otherwise impede the authority of the Commissioner from accessing or examining the books and records of a broker-dealer or investment adviser as otherwise provided by law. History. Code 1981, § 10-5-106, enacted by Ga. L. 2023, p. 550, § 1/SB 84, effective July 1, 2023. 10-5-107. Administrative and civil liability.
Accessibility of books and records
O.C.G.A. § 10-5-106 — under Commerce and Trade.
O.C.G.A. § 10-5-106