Kentucky Statutes 304.3-764 – Documents, materials, and other information — Confidentiality — Releases
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(1) (a) Subject to paragraph (b) of this subsection and subsections (3) and (6) of this section, any documents, materials, or other information in the control or possession of the department that are furnished by a licensee, or an employee or agent acting on behalf of a licensee, under KRS § 304.3-756, 304.3-758, or
304.3-760 or that are obtained by the commissioner in an investigation or examination under KRS § 304.3-762 shall:
1. Be confidential by law and privileged;
2. Not be subject to KRS § 61.870 to KRS § 61.884;
3. Not be subject to subpoena; and
4. Not be subject to discovery or admissible in evidence in any private civil action.
(b) The commissioner may use documents, materials, or other information referenced under paragraph (a) of this subsection in furtherance of any regulatory or legal action brought as part of the commissioner’s duties, and shall not otherwise make the documents, materials, or other information public without the written consent of the licensee.
(2) The commissioner, and any person who received documents, materials, or other information while acting under the authority of the commissioner, shall not be permitted, or required, to testify in any private civil action concerning any confidential documents, materials, or other information subject to subsection (1)(a) of this section.
(3) In order to assist in the performance of the commissioner’s duties under KRS § 304.3-
750 to 304.3-768, the commissioner:
(a) May share documents, materials, and other information, including confidential and privileged documents, materials, or other information subject to subsection (1) of this section, with the following if the recipient agrees, in writing, to maintain the confidentiality and privileged status of the documents, materials, or other information:
1. State, federal, and international regulatory agencies;
2. The National Association of Insurance Commissioners, its affiliates, or subsidiaries; and
3. State, federal, and international law enforcement authorities;
(b) May receive documents, materials, and other information, including confidential and privileged documents, materials, or information, from:
1. The National Association of Insurance Commissioners, its affiliates, or subsidiaries; and
2. Regulatory and law enforcement officials of other foreign and domestic jurisdictions;
(c) Shall maintain as confidential and privileged any document, material, or information received with notice or understanding that it is confidential and privileged under the laws of the jurisdiction that is the source of the
documents, materials, or other information;
(d) May share documents, materials, and other information subject to subsection (1) this section with a third-party consultant or vendor, if the consultant or vendor agrees, in writing, to maintain the confidentiality and privileged status of the documents, materials, or other information; and
(e) May enter into agreements governing the sharing and use of information consistent with this section.
(4) No waiver of any applicable privilege or claim of confidentiality shall occur as a result of:
(a) A disclosure to the commissioner of documents, materials, or other information under this section; or
(b) The sharing of the documents, materials, or other information as authorized under subsection (3) of this section.
(5) Documents, materials, and other information in the possession or control of the National Association of Insurance Commissioners or a third-party consultant or vendor pursuant to KRS § 304.3-750 to KRS § 304.3-768 shall:
(a) Be confidential by law and privileged; (b) Not be subject to KRS § 61.870 to KRS § 61.884; (c) Not be subject to subpoena; and
(d) Not be subject to discovery or admissible in evidence in any private civil action.
(6) Nothing in KRS § 304.3-750 to KRS § 304.3-768 shall prohibit the commissioner from releasing final, adjudicated actions that are open to public inspection under KRS
304.2-150 to a database or other clearinghouse service maintained by the National
Association of Insurance Commissioners, its affiliates, or subsidiaries.
Effective: January 1, 2023
History: Created 2022 Ky. Acts ch. 149, sec. 8, effective January 1, 2023.
304.3-760 or that are obtained by the commissioner in an investigation or examination under KRS § 304.3-762 shall:
Terms Used In Kentucky Statutes 304.3-764
- Action: includes all proceedings in any court of this state. See Kentucky Statutes 446.010
- agent: includes managing general agent unless the context requires otherwise. See Kentucky Statutes 304.9-085
- Discovery: Lawyers' examination, before trial, of facts and documents in possession of the opponents to help the lawyers prepare for trial.
- Domestic: when applied to a corporation, partnership, business trust, or limited liability company, means all those incorporated or formed by authority of this state. See Kentucky Statutes 446.010
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Federal: refers to the United States. See Kentucky Statutes 446.010
- Foreign: when applied to a corporation, partnership, limited partnership, business trust, statutory trust, or limited liability company, includes all those incorporated or formed by authority of any other state. See Kentucky Statutes 446.010
- Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
- State: when applied to a part of the United States, includes territories, outlying possessions, and the District of Columbia. See Kentucky Statutes 446.010
- Subpoena: A command to a witness to appear and give testimony.
- Testify: Answer questions in court.
1. Be confidential by law and privileged;
2. Not be subject to KRS § 61.870 to KRS § 61.884;
3. Not be subject to subpoena; and
4. Not be subject to discovery or admissible in evidence in any private civil action.
(b) The commissioner may use documents, materials, or other information referenced under paragraph (a) of this subsection in furtherance of any regulatory or legal action brought as part of the commissioner’s duties, and shall not otherwise make the documents, materials, or other information public without the written consent of the licensee.
(2) The commissioner, and any person who received documents, materials, or other information while acting under the authority of the commissioner, shall not be permitted, or required, to testify in any private civil action concerning any confidential documents, materials, or other information subject to subsection (1)(a) of this section.
(3) In order to assist in the performance of the commissioner’s duties under KRS § 304.3-
750 to 304.3-768, the commissioner:
(a) May share documents, materials, and other information, including confidential and privileged documents, materials, or other information subject to subsection (1) of this section, with the following if the recipient agrees, in writing, to maintain the confidentiality and privileged status of the documents, materials, or other information:
1. State, federal, and international regulatory agencies;
2. The National Association of Insurance Commissioners, its affiliates, or subsidiaries; and
3. State, federal, and international law enforcement authorities;
(b) May receive documents, materials, and other information, including confidential and privileged documents, materials, or information, from:
1. The National Association of Insurance Commissioners, its affiliates, or subsidiaries; and
2. Regulatory and law enforcement officials of other foreign and domestic jurisdictions;
(c) Shall maintain as confidential and privileged any document, material, or information received with notice or understanding that it is confidential and privileged under the laws of the jurisdiction that is the source of the
documents, materials, or other information;
(d) May share documents, materials, and other information subject to subsection (1) this section with a third-party consultant or vendor, if the consultant or vendor agrees, in writing, to maintain the confidentiality and privileged status of the documents, materials, or other information; and
(e) May enter into agreements governing the sharing and use of information consistent with this section.
(4) No waiver of any applicable privilege or claim of confidentiality shall occur as a result of:
(a) A disclosure to the commissioner of documents, materials, or other information under this section; or
(b) The sharing of the documents, materials, or other information as authorized under subsection (3) of this section.
(5) Documents, materials, and other information in the possession or control of the National Association of Insurance Commissioners or a third-party consultant or vendor pursuant to KRS § 304.3-750 to KRS § 304.3-768 shall:
(a) Be confidential by law and privileged; (b) Not be subject to KRS § 61.870 to KRS § 61.884; (c) Not be subject to subpoena; and
(d) Not be subject to discovery or admissible in evidence in any private civil action.
(6) Nothing in KRS § 304.3-750 to KRS § 304.3-768 shall prohibit the commissioner from releasing final, adjudicated actions that are open to public inspection under KRS
304.2-150 to a database or other clearinghouse service maintained by the National
Association of Insurance Commissioners, its affiliates, or subsidiaries.
Effective: January 1, 2023
History: Created 2022 Ky. Acts ch. 149, sec. 8, effective January 1, 2023.