Confidentiality of Preneed Records Obtained by the Board through Financial Examination, Audit, or Investigation

PURPOSE: The purpose of this rule is to ensure confidentiality of consumer records and confidential data of licensees and registrants. (1) Upon completion of any financial exam, audit, or investi gation involving preneed records, the board members may be provided with a summary of the results of the exam, audit, or investigation and any such summary shall not include infor mation made confidential per section 436.525, RSMo, unless such information is required for the board to evaluate whether the board should take further action. (2) No individual member of the board shall be given access to review the work papers of the examiners, auditors, or investigator related to the examination, audit, or investigation of preneed records unless such access has been specifically approved by the board, as a body. Work papers shall include any records or information obtained from any licensee, registrant, or any other source that includes any information made confidential by section 436.525, RSMo. Work papers shall also include any compilation, spreadsheet, or other record prepared by the examiner, auditor, or investigator from information and records obtained from the licensee, registrant, or other source that contains information made confidential by section 436.525, RSMo. Work papers shall not include any document that would otherwise be an open record under Missouri law. AUTHORITY: sections 333.111 and 436.525, RSMo 2016.* Original rule filed Jan. 30, 2020, effective Aug. 30, 2020. *Original authority: 333.111, RSMo 1965, amended 1981, 1993, 1995 and 436.525, RSMo 2009.