Review of reports and statements, notice--audits andinvestigations--formal investigations--report--referral ofreport.
105.959. 1. The executive director of the commission, under thesupervision of the commission, shall review reports and statements filedwith the commission or other appropriate officers pursuant to sections105.470, 105.483 to 105.492, and chapter 130, RSMo, for completeness,accuracy and timeliness of filing of the reports or statements, and uponreview, if there are reasonable grounds to believe that a violation hasoccurred, shall conduct an audit of such reports and statements. Allinvestigations by the executive director of an alleged violation shall bestrictly confidential with the exception of notification of the commissionand the complainant or the person under investigation. All investigationsby the executive director shall be limited to the information contained inthe reports or statements. The commission shall notify the complainant orthe person under investigation, by registered mail, within five days of thedecision to conduct such investigation. Revealing any such confidentialinvestigation information shall be cause for removal or dismissal of theexecutive director or a commission member or employee.
2. Upon findings of the appropriate filing officer which are reportedto the commission in accordance with the provisions of section 130.056,RSMo, the executive director shall audit disclosure reports, statements andrecords pertaining to such findings within a reasonable time after receiptof the reports from the appropriate filing officer.
3. Upon a sworn written complaint of any natural person filed withthe commission pursuant to section 105.957, the commission shall audit andinvestigate alleged violations. Within sixty days after receipt of asworn written complaint alleging a violation, the executive director shallnotify the complainant in writing of the action, if any, the executivedirector has taken and plans to take on the complaint. If an investigationconducted pursuant to this subsection fails to establish reasonable groundsto believe that a violation has occurred, the investigation shall beterminated and the complainant and the person who had been underinvestigation shall be notified of the reasons for the disposition of thecomplaint.
4. The commission may make such investigations and inspections withinor outside of this state as are necessary to determine compliance.
5. If, during an audit or investigation, the commission determinesthat a formal investigation is necessary, the commission shall assign theinvestigation to a special investigator in the manner provided bysubsection 1 of section 105.961.
6. After completion of an audit or investigation, the executivedirector shall provide a detailed report of such audit or investigation tothe commission. Upon determination that there are reasonable grounds tobelieve that a person has violated the requirements of sections 105.470,105.483 to 105.492, or chapter 130, RSMo, by a vote of four members of thecommission, the commission may refer the report with the recommendations ofthe commission to the appropriate prosecuting authority together with acopy of the audit and the details of the investigation by the commission asis provided in subsection 2 of section 105.961.
Review of reports and statements, notice--audits andinvestigations--formal investigations--report--referral ofreport.
105.959. 1. The executive director of the commission, under thesupervision of the commission, shall review reports and statements filedwith the commission or other appropriate officers pursuant to sections105.470, 105.483 to 105.492, and chapter 130, RSMo, for completeness,accuracy and timeliness of filing of the reports or statements, and uponreview, if there are reasonable grounds to believe that a violation hasoccurred, shall conduct an audit of such reports and statements. Allinvestigations by the executive director of an alleged violation shall bestrictly confidential with the exception of notification of the commissionand the complainant or the person under investigation. All investigationsby the executive director shall be limited to the information contained inthe reports or statements. The commission shall notify the complainant orthe person under investigation, by registered mail, within five days of thedecision to conduct such investigation. Revealing any such confidentialinvestigation information shall be cause for removal or dismissal of theexecutive director or a commission member or employee.
2. Upon findings of the appropriate filing officer which are reportedto the commission in accordance with the provisions of section 130.056,RSMo, the executive director shall audit disclosure reports, statements andrecords pertaining to such findings within a reasonable time after receiptof the reports from the appropriate filing officer.
3. Upon a sworn written complaint of any natural person filed withthe commission pursuant to section 105.957, the commission shall audit andinvestigate alleged violations. Within sixty days after receipt of asworn written complaint alleging a violation, the executive director shallnotify the complainant in writing of the action, if any, the executivedirector has taken and plans to take on the complaint. If an investigationconducted pursuant to this subsection fails to establish reasonable groundsto believe that a violation has occurred, the investigation shall beterminated and the complainant and the person who had been underinvestigation shall be notified of the reasons for the disposition of thecomplaint.
4. The commission may make such investigations and inspections withinor outside of this state as are necessary to determine compliance.
5. If, during an audit or investigation, the commission determinesthat a formal investigation is necessary, the commission shall assign theinvestigation to a special investigator in the manner provided bysubsection 1 of section 105.961.
6. After completion of an audit or investigation, the executivedirector shall provide a detailed report of such audit or investigation tothe commission. Upon determination that there are reasonable grounds tobelieve that a person has violated the requirements of sections 105.470,105.483 to 105.492, or chapter 130, RSMo, by a vote of four members of thecommission, the commission may refer the report with the recommendations ofthe commission to the appropriate prosecuting authority together with acopy of the audit and the details of the investigation by the commission asis provided in subsection 2 of section 105.961.
Review of reports and statements, notice--audits andinvestigations--formal investigations--report--referral ofreport.
105.959. 1. The executive director of the commission, under thesupervision of the commission, shall review reports and statements filedwith the commission or other appropriate officers pursuant to sections105.470, 105.483 to 105.492, and chapter 130, RSMo, for completeness,accuracy and timeliness of filing of the reports or statements, and uponreview, if there are reasonable grounds to believe that a violation hasoccurred, shall conduct an audit of such reports and statements. Allinvestigations by the executive director of an alleged violation shall bestrictly confidential with the exception of notification of the commissionand the complainant or the person under investigation. All investigationsby the executive director shall be limited to the information contained inthe reports or statements. The commission shall notify the complainant orthe person under investigation, by registered mail, within five days of thedecision to conduct such investigation. Revealing any such confidentialinvestigation information shall be cause for removal or dismissal of theexecutive director or a commission member or employee.
2. Upon findings of the appropriate filing officer which are reportedto the commission in accordance with the provisions of section 130.056,RSMo, the executive director shall audit disclosure reports, statements andrecords pertaining to such findings within a reasonable time after receiptof the reports from the appropriate filing officer.
3. Upon a sworn written complaint of any natural person filed withthe commission pursuant to section 105.957, the commission shall audit andinvestigate alleged violations. Within sixty days after receipt of asworn written complaint alleging a violation, the executive director shallnotify the complainant in writing of the action, if any, the executivedirector has taken and plans to take on the complaint. If an investigationconducted pursuant to this subsection fails to establish reasonable groundsto believe that a violation has occurred, the investigation shall beterminated and the complainant and the person who had been underinvestigation shall be notified of the reasons for the disposition of thecomplaint.
4. The commission may make such investigations and inspections withinor outside of this state as are necessary to determine compliance.
5. If, during an audit or investigation, the commission determinesthat a formal investigation is necessary, the commission shall assign theinvestigation to a special investigator in the manner provided bysubsection 1 of section 105.961.
6. After completion of an audit or investigation, the executivedirector shall provide a detailed report of such audit or investigation tothe commission. Upon determination that there are reasonable grounds tobelieve that a person has violated the requirements of sections 105.470,105.483 to 105.492, or chapter 130, RSMo, by a vote of four members of thecommission, the commission may refer the report with the recommendations ofthe commission to the appropriate prosecuting authority together with acopy of the audit and the details of the investigation by the commission asis provided in subsection 2 of section 105.961.
