(a)
added
Definitions— In this title—
(1)
added
the term Bank Secrecy Act officer means an individual responsible for ensuring compliance with the requirements mandated by subchapter II of chapter 53 of title 31, United States Code (commonly known as the “Bank Secrecy Act”);
(2)
added
the term broker-dealer means a broker and a dealer, as those terms are defined in section 3(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a));
(3)
added
the term covered agency means—
(A)
added
a State financial regulatory agency, including a State securities or law enforcement authority and a State insurance regulator;
(B)
added
each of the entities represented in the membership of the Federal Financial Institutions Examination Council established under section 1004 of the Federal Financial Institutions Examination Council Act of 1978 (12 U.S.C. 3303);
(C)
added
the Securities and Exchange Commission;
(D)
added
a securities association registered under section 15A of the Securities Exchange Act of 1934 (15 U.S.C. 78o–3);
(E)
added
a law enforcement agency; and
(F)
added
a State or local agency responsible for administering adult protective service laws;
(4)
added
the term covered financial institution means—
(A)
added
a credit union;
(B)
added
a depository institution;
(C)
added
an investment adviser;
(D)
added
a broker-dealer;
(E)
added
an insurance company;
(F)
added
an insurance agency; and
(G)
added
a transfer agent;
(5)
added
the term credit union has the meaning given the term in section 2 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (12 U.S.C. 5301);
(6)
added
the term depository institution has the meaning given the term in section 3(c) of the Federal Deposit Insurance Act (12 U.S.C. 1813(c));
(7)
added
the term exploitation means the fraudulent or otherwise illegal, unauthorized, or improper act or process of an individual, including a caregiver or a fiduciary, that—
(A)
added
uses the resources of a senior citizen for monetary or personal benefit, profit, or gain; or
(B)
added
results in depriving a senior citizen of rightful access to or use of benefits, resources, belongings, or assets;
(8)
added
the term insurance agency means any business entity that sells, solicits, or negotiates insurance coverage;
(9)
added
the term insurance company has the meaning given the term in section 2(a) of the Investment Company Act of 1940 (15 U.S.C. 80a–2(a));
(10)
added
the term insurance producer means an individual who is required under State law to be licensed in order to sell, solicit, or negotiate insurance coverage;
(11)
added
the term investment adviser has the meaning given the term in section 202(a) of the Investment Advisers Act of 1940 (15 U.S.C. 80b–2(a));
(12)
added
the term investment adviser representative means an individual who—
(A)
added
is employed by or associated with an investment adviser; and
(B)
added
does not perform solely clerical or ministerial acts;
(13)
added
the term registered representative means an individual who represents a broker-dealer in effecting or attempting to effect a purchase or sale of securities;
(14)
added
the term senior citizen means an individual who is not younger than 65 years of age;
(15)
added
the term State means each of the several States, the District of Columbia, and any territory or possession of the United States;
(16)
added
the term State insurance regulator has the meaning given the term in section 315 of the Gramm-Leach-Bliley Act (15 U.S.C. 6735);
(17)
added
the term State securities or law enforcement authority has the meaning given the term in section 24(f)(4) of the Securities Exchange Act of 1934 (15 U.S.C. 78x(f)(4)); and
(18)
added
the term “transfer agent” has the meaning given the term in section 3(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78c(a)).
(b)
added
Immunity from suit—
(1)
added
Immunity for individuals— An individual who has received the training described in section 302 shall not be liable, including in any civil or administrative proceeding, for disclosing the suspected exploitation of a senior citizen to a covered agency if the individual, at the time of the disclosure—
(A)
added
served as a supervisor or compliance officer (including as a Bank Secrecy Act officer) for, or, in the case of a registered representative, investment adviser representative, or insurance producer, was affiliated or associated with, a covered financial institution; and
(B)
added
made the disclosure—
(i)
added
in good faith; and
(ii)
added
with reasonable care.
(2)
added
Immunity for covered financial institutions— A covered financial institution shall not be liable, including in any civil or administrative proceeding, for a disclosure made by an individual described in paragraph (1) if—
(A)
added
the individual was employed by, or, in the case of a registered representative, insurance producer, or investment adviser representative, affiliated or associated with, the covered financial institution at the time of the disclosure; and
(B)
added
before the time of the disclosure, each individual described in section 302(a) received the training described in section 302.
(3)
added
Rule of construction— Nothing in paragraph (1) or (2) shall be construed to limit the liability of an individual or a covered financial institution in a civil action for any act, omission, or fraud that is not a disclosure described in paragraph (1).
(a)
added
In general— A covered financial institution or a third party selected by a covered financial institution may provide the training described in subsection (b)(1) to each officer or employee of, or registered representative, insurance producer, or investment adviser representative affiliated or associated with, the covered financial institution who—
(1)
added
is described in section 301(b)(1)(A);
(2)
added
may come into contact with a senior citizen as a regular part of the professional duties of the individual; or
(3)
added
may review or approve the financial documents, records, or transactions of a senior citizen in connection with providing financial services to a senior citizen.
(1)
added
In general— The content of the training that a covered financial institution or a third party selected by the covered financial institution may provide under subsection (a) shall—
(A)
added
be maintained by the covered financial institution and made available to a covered agency with examination authority over the covered financial institution, upon request, except that a covered financial institution shall not be required to maintain or make available such content with respect to any individual who is no longer employed by or affiliated or associated with the covered financial institution;
(B)
added
instruct any individual attending the training on how to identify and report the suspected exploitation of a senior citizen internally and, as appropriate, to government officials or law enforcement authorities, including common signs that indicate the financial exploitation of a senior citizen;
(C)
added
discuss the need to protect the privacy and respect the integrity of each individual customer of the covered financial institution; and
(D)
added
be appropriate to the job responsibilities of the individual attending the training.
(2)
added
Timing— The training under subsection (a) shall be provided—
(A)
added
as soon as reasonably practicable; and
(B)
added
with respect to an individual who begins employment with or becomes affiliated or associated with a covered financial institution after the date of enactment of this Act, not later than 1 year after the individual becomes employed by or affiliated or associated with the covered financial institution in a position described in paragraph (1), (2), or (3) of subsection (a).
(3)
added
Records— A covered financial institution shall—
(A)
added
maintain a record of each individual who—
(i)
added
is employed by or affiliated or associated with the covered financial institution in a position described in paragraph (1), (2), or (3) of subsection (a); and
(ii)
added
has completed the training under subsection (a), regardless of whether the training was—
(I)
added
provided by the covered financial institution or a third party selected by the covered financial institution;
(II)
added
completed before the individual was employed by or affiliated or associated with the covered financial institution; and
(III)
added
completed before, on, or after the date of enactment of this Act; and
(B)
added
upon request, provide a record described in subparagraph (A) to a covered agency with examination authority over the covered financial institution.