Nationwide Reporting Chart
For Suspected Exploitation Of Seniors And/Or Vulnerable Persons
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Ala. Code § 38-3-8(9).
Ala. Code § 8-6-171(5), (8), (10)(a)-(10)(b).
Ala. Code § 8-6-172.
Ala. Code § 38-9-2(2), (18).
Ala. Code § 8-6-173.
Ala. Code § 8-6-176(a)-(b).
Ala. Code § 8-6-177.
(Mandated? Permissive?)
Any agent, investment adviser representative, or person who serves in a supervisory, compliance, legal, or associated member capacity of a broker-dealer or investment adviser. (Mandated)
(Y/N)
Yes, a broker-dealer or investment adviser may delay. Ala. Code § 8-6-176(a).
Expires upon the sooner of: (1) A determination by the broker-dealer or investment adviser that the disbursement will not result in financial exploitation of the vulnerable adult. (2) Fifteen business days after the date on which the broker-dealer or investment adviser first delayed disbursement of the funds, unless either the department or the commission requests that the broker-dealer or investment adviser extend the delay, in which case the delay shall expire no more than 25 business days after the date on which the broker-dealer or investment adviser first delayed disbursement of the funds unless sooner terminated by either the department or commission or an order of a court of competent jurisdiction. Ala. Code § 8-6-176(b).
All physicians and other practitioners of the healing arts or any caregiver having reasonable cause. Ala. Code § 38-9-8(a).
Department of Senior Services (to the Department of Human Resources). Ala. Code § 38-3-8(9).
If a qualified individual reasonably believes that financial exploitation of a vulnerable adult may have occurred, may have been attempted, or is being attempted, the qualified individual shall promptly notify the department and the commission. Ala. Code § 8-6-172.
Qualified Individual: Any agent, investment adviser representative, or person who serves in a supervisory, compliance, legal, or associated member capacity of a broker-dealer or investment adviser. Ala. Code § 8-6-171(8).
Adult in Need of Protective Services: A person over 18 years of age whose behavior indicates that he or she is mentally incapable of adequately caring for himself or herself and his or her interests without serious consequences to himself or herself or others, or who, because of physical or mental impairment, is unable to protect himself or herself from abuse, neglect, exploitation, sexual abuse, or emotional abuse by others, and who has no guardian, relative, or other appropriate person able, willing, and available to assume the kind and degree of protection and supervision required under the circumstances. Ala. Code § 38-9-2(2).
Protected Person: Any person 18 years of age or older, including, but not limited to, persons who are senile, persons with intellectual disabilities and developmental disabilities, or that is mentally or physically incapable of adequately caring for himself or herself and his or her interests without serious consequences to himself or herself or others. Ala. Code § 38-9-2(18).
Vulnerable Adult: Any of the following: a. A person 65 years of age or older. b. A protected person included and defined in Chapter 9, Title 38 of the Code of Alabama. (Chapter 9, Title 38 includes the two definitions above for Adult in Need of Protective Services and Protected Person.) Ala. Code § 8-6-171(10)(a)-(10)(b).
Yes.
A qualified individual that in good faith and exercising reasonable care makes a disclosure of information pursuant to Section 8-6-172 shall be immune from administrative or civil liability. Ala. Code § 8-6-173.
A broker-dealer or investment adviser that, in good faith and exercising reasonable care, complies with Section 8-6-176 shall be immune from any administrative or civil liability that might otherwise arise from such delay in a disbursement in accordance with this section. Ala. Code § 8-6-177.
** Senior Safe Act
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