Nationwide Reporting Chart
For Suspected Exploitation Of Seniors And/Or Vulnerable Persons
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N.D. Cent. Code § 25-01.3-04(1).
N.D. Cent. Code § 50-25.2-01(17).
N.D. Cent. Code § 25-01.2-01(3).
N.D. Cent. Code § 10-04-08.5(1)(a), (1)(c), (2), (4), (5)(a)-(c), (6).
N.D. Cent. Code § 6-08.5-02(1).
N.D. Cent. Code § 6-08.5-01(4).
(Mandated? Permissive?)
Any agent, investment adviser representative, or person who serves in a supervisory, compliance, or legal capacity for a broker-dealer or investment adviser. (Mandated)
(Y/N)
Yes, broker-dealer or investment advisor may delay. N.D. Cent. Code § 10-04-08.5(5)(a).
Any delay of a transaction or disbursement authorized by this section expires upon the earlier of: (1) A determination by the broker-dealer or investment adviser that the transaction or disbursement will not result in financial exploitation of the eligible adult; or (2) Fifteen business days after the date on which the broker-dealer or investment adviser first delayed the transaction or disbursement of the funds or securities, unless the department of human services or the commissioner requests the broker- dealer or investment adviser extend the delay, in which case the delay expires within twenty-five business days after the date the broker-dealer or investment adviser first delayed the transaction or disbursement of the funds or securities unless the delay is terminated by either of the agencies or an order of a court of competent jurisdiction. c. A court of competent jurisdiction or the commissioner may enter an order extending the delay of the transaction or disbursement of funds or securities or may order other protective relief based on the broker-dealer, investment adviser, or other interested party’s petition that initiated the delay under this section. N.D. Cent. Code § 10-04-08.5(5)(b)-(c).
If a financial service provider has a good faith belief to suspect financial exploitation occurred, was attempted, or is being attempted, the financial service provider may refuse a financial transaction or hold a financial transaction. (Permissive) N.D. Cent. Code, § 6-08.5-02.
“Financial service provider” means a financial institution, credit union, savings and loan association, or trust company. N.D. Cent. Code, § 6-08.5-01(4).
Any medical or mental health professional or personnel, law enforcement officer, firefighter, member of the clergy, or caregiver having knowledge that a vulnerable adult has been subjected to abuse or neglect, or who observes a vulnerable adult being subjected to conditions or circumstances that reasonably would result in abuse or neglect, shall report the information to the department or the department’s designee or to an appropriate law enforcement agency if the knowledge is derived from information received by that person in that person’s official or professional capacity. A member of the clergy, however, is not required to report the information if the knowledge is derived from information received in the capacity of spiritual adviser. For purposes of this subsection, “medical or mental health professional or personnel” means a professional or personnel providing health care or services to a vulnerable adult, on a full-time or part-time basis, on an individual basis or at the request of a caregiver, and includes a physician, nurse, medical examiner, coroner, dentist, dental hygienist, optometrist, pharmacist, chiropractor, podiatrist, physical therapist, occupational therapist, addiction counselor, counselor, marriage and family therapist, social worker, mental health professional, emergency medical services personnel, hospital personnel, nursing home personnel, congregate care personnel, or any other person providing medical and mental health services to a vulnerable adult. N.D. Cent. Code § 50-25.2-03(1).
Every medical, mental health, or developmental disabilities professional, educational professional, police or law enforcement officer, or caretaker having knowledge of or reasonable cause to suspect that an adult with developmental disabilities or mental illness coming before the individual providing services in that individual’s official or professional capacity is abused, neglected, or exploited. N.D. Cent. Code § 25-01.3-04(1).
If a qualified individual reasonably believes financial exploitation of an eligible adult may have occurred, may have been attempted, or is being attempted, the qualified individual shall notify the department of human services and the commissioner. N.D. Cent. Code § 10-04-08.5(2).
Qualified Individual: Any agent, investment adviser representative, or person who serves in a supervisory, compliance, or legal capacity for a broker-dealer or investment adviser. N.D. Cent. Code § 10-04-08.5(1)(c).
Vulnerable Adult: An adult who has substantial mental or functional impairment. N.D. Cent. Code § 50-25.2-01(17).
Adult with Developmental Disabilities or Mental Illness. N.D. Cent. Code §25-01.3-04(1).
Developmental Disability: Means a severe, chronic disability of a person which: a. Is attributable to a mental or physical impairment or combination of mental and physical impairments; b. Is manifested before the person attains age twenty-two; c. Is likely to continue indefinitely; d. Results in substantial functional limitations in three or more of the following areas of major life activity: (1) Self-care; (2) Receptive and expressive language; (3) Learning; (4) Mobility; (5) Self-direction; (6) Capacity for independent living; and (7) Economic sufficiency; and e. Reflects the person’s needs for a combination and sequence of special, interdisciplinary, or generic care, treatment, or other services which are of lifelong or extended duration and are individually planned and coordinated. N.D. Cent. Code § 25-01.2-01(3).
Eligible Adult: An adult who is at least sixty-five years old or a vulnerable adult as defined in section 50-25.2-01. N.D. Cent. Code § 10-04-08.5(1)(a).
Yes.
A qualified individual who in good faith and exercising reasonable care discloses information under this section is immune from administrative or civil liability that might otherwise result from disclosure or for any failure to notify the customer of the disclosure. N.D. Cent. Code § 10-04-08.5(4).
A broker-dealer or investment adviser who in good faith and exercising reasonable care complies with this section is immune from any administrative or civil liability that may otherwise arise from a delay in the transaction or disbursement in accordance with this section. N.D. Cent. Code § 10-04-08.5(6).
A financial service provider, or an employee, officer, or director of a financial service provider, is immune from all criminal, civil, and administrative liability: (a) For refusing or not refusing a financial transaction, or for holding or not holding a financial transaction under this section; or (b) For actions taken in furtherance of the determination made, if the determination is based upon a good faith belief financial exploitation occurred, was attempted, or is being attempted. N.D. Cent. Code, § 6-08.5-02(6).
** See Senior Safe Act
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