Report Unethical Conduct
Administrative & Criminal Proceedings
Compliance & Registration
The compliance staff conducts periodic examinations or examinations for cause of registered broker-dealer and investment adviser offices inside and outside of Kansas. An examination may be conducted at any time and without advance notice. The compliance staff may copy and remove for examination copies of all records that are determined to be reasonably necessary or appropriate to conduct the examination. Examinations by the compliance staff are authorized under the Kansas Uniform Securities Act,
Kansas Open Records Act
Records obtained during an examination are not subject to dissemination under the Kansas Open Records Act. However, as provided in
the records can be shared with other regulators or disclosed for the purpose of a civil or administrative action. In addition, all correspondence between the compliance staff and the registrant is likely to be subject to the Kansas Open Records Act once the examination is concluded, including any informal resolution of deficiencies that is not reportable on the CRD system. Confidential information such as social security numbers and client identifiers would be redacted from any such disclosure.
Powered by CivicPlus