Utah Code 7-1-1006. Inapplicable to certain official investigations
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(1) Sections 7-1-1002 and 7-1-1003 do not apply if an examination of a record is a part of an official investigation by:
Terms Used In Utah Code 7-1-1006
- Account holder: means a person for whom an account is held by a financial institution. See Utah Code 7-1-1001
- City: includes , depending on population, a metro township as defined in Section
10-3c-102 . See Utah Code 68-3-12.5 - control: means the power, directly or indirectly, or through or in concert with one or more persons, to:(5)(a) direct or exercise a controlling influence over:(5)(a)(i) the management or policies of a financial institution; or(5)(a)(ii) the election of a majority of the directors or trustees of an institution; or(5)(b) vote 25% or more of any class of voting securities of a financial institution. See Utah Code 7-1-103
- Department: means the Department of Financial Institutions. See Utah Code 7-1-103
- Financial institution: means an institution subject to the jurisdiction of the department because of this title. See Utah Code 7-1-103
- Governmental entity: means :
(1)(b)(i) the state, including:(1)(b)(i)(A) a department;(1)(b)(i)(B) an institution;(1)(b)(i)(C) a board;(1)(b)(i)(D) a division;(1)(b)(i)(E) a bureau;(1)(b)(i)(F) an office;(1)(b)(i)(G) a commission;(1)(b)(i)(H) a committee; or(1)(b)(i)(I) an elected official; and(1)(b)(ii) a political subdivision of the state, including:(1)(b)(ii)(A) a county;(1)(b)(ii)(B) a city;(1)(b)(ii)(C) a town;(1)(b)(ii)(D) a school district;(1)(b)(ii)(E) a public transit district;(1)(b)(ii)(F) a redevelopment agency;(1)(b)(ii)(G) a special improvement district; or(1)(b)(ii)(H) a taxing district. See Utah Code 7-1-1001- Institution: means :
(19)(a) a corporation;(19)(b) a limited liability company;(19)(c) a partnership;(19)(d) a trust;(19)(e) an association;(19)(f) a joint venture;(19)(g) a pool;(19)(h) a syndicate;(19)(i) an unincorporated organization; or(19)(j) any form of business entity. See Utah Code 7-1-103- 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.
- Nonprotected record: means a record maintained by a financial institution to facilitate the conduct of the financial institution's business regarding a person or account, including:
(1)(c)(i) the existence of an account;(1)(c)(ii) the opening and closing dates of an account;(1)(c)(iii) the name under which an account is held; and(1)(c)(iv) the name, address, and telephone number of an account holder. See Utah Code 7-1-1001- Person: means :
(27)(a) an individual;(27)(b) a corporation;(27)(c) a limited liability company;(27)(d) a partnership;(27)(e) a trust;(27)(f) an association;(27)(g) a joint venture;(27)(h) a pool;(27)(i) a syndicate;(27)(j) a sole proprietorship;(27)(k) an unincorporated organization; or(27)(l) any form of business entity. See Utah Code 7-1-103- Process: means a writ or summons issued in the course of a judicial proceeding. See Utah Code 68-3-12.5
- Protected record: means a record that is not defined as a nonprotected record. See Utah Code 7-1-1001
- Record: means information that is:
(1)(e)(i) prepared, owned, received, or retained by a financial institution;(1)(e)(ii)(1)(e)(ii)(A) inscribed on a tangible medium; or(1)(e)(ii)(B) stored in an electronic or other medium; and(1)(e)(iii) retrievable in perceivable form. See Utah Code 7-1-1001- State: means , unless the context demands otherwise:
(33)(a) a state;(33)(b) the District of Columbia; or(33)(c) the territories of the United States. See Utah Code 7-1-103- Statute: A law passed by a legislature.
- Subpoena: A command to a witness to appear and give testimony.
- Writing: includes :
(48)(a) printing;(48)(b) handwriting; and(48)(c) information stored in an electronic or other medium if the information is retrievable in a perceivable format. See Utah Code 68-3-12.5(1)(a) local police;(1)(b) a sheriff;(1)(c) a peace officer;(1)(d) a city attorney;(1)(e) a county attorney;(1)(f) a district attorney;(1)(g) the attorney general;(1)(h) the Department of Public Safety;(1)(i) the Office of Recovery Services of the Department of Health and Human Services;(1)(j) the Insurance Department;(1)(k) the Department of Commerce;(1)(l) the Benefit Payment Control Unit or the Payment Error Prevention Unit of the Department of Workforce Services;(1)(m) the state auditor;(1)(n) the State Tax Commission; or(1)(o) the Department of Health and Human Services or its designee, when undertaking an official investigation to determine whether an individual qualifies for certain assistance programs as provided in Section 26B-3-106.(2) Except for the Office of Recovery Services, if a governmental entity listed in Subsection (1) seeks a record, the entity shall obtain the record as follows:(2)(a) if the record is a nonprotected record, by request in writing that:(2)(a)(i) certifies that an official investigation is being conducted; and(2)(a)(ii) is signed by a representative of the governmental entity that is conducting the official investigation; or(2)(b) if the record is a protected record, by obtaining:(2)(b)(i) a subpoena authorized by statute;(2)(b)(ii) other legal process:(2)(b)(ii)(A) ordered by a court of competent jurisdiction; and(2)(b)(ii)(B) served upon the financial institution; or(2)(b)(iii) written permission from all account holders of the account referenced in the record to be examined.(3) If the Office of Recovery Services seeks a record, the Office of Recovery Services shall obtain the record pursuant to:(3)(a) Subsection 26B-9-104(1)(g);(3)(b) Section 26B-9-205;(3)(c) Section 26B-9-208; or(3)(d) Title IV, Part D of the Social Security Act as codified in 42 U.S.C. § 651 et seq.(4) A financial institution may not give notice to an account holder or person named or referenced within the record disclosed pursuant to Subsection (2)(a).(5) In accordance with Section 7-1-1004, the governmental entity conducting the official investigation that obtains a record from a financial institution under this section shall reimburse the financial institution for costs reasonably and directly incurred by the financial institution.