Sec. 36a-42. (Formerly Sec. 36-9k). Disclosure of financial records prohibited; exceptions.
Sec. 36a-42. (Formerly Sec. 36-9k). Disclosure of financial records prohibited;
exceptions. A financial institution may not disclose to any person, except to the customer
or the customer's duly authorized agent, any financial records relating to such customer
unless the customer has authorized disclosure to such person or the financial records are
disclosed in response to (1) a certificate signed by the Commissioner of Administrative
Services or the Commissioner of Social Services pursuant to the provisions of section
17b-137, (2) a lawful subpoena, summons, warrant or court order as provided in section
36a-43, (3) interrogatories by a judgment creditor or a demand by a levying officer as
provided in sections 52-351b and 52-356a, (4) a certificate issued by a medical provider
or its attorney under subsection (b) of section 17b-124, provided nothing in this subsection shall require the provider or its attorney to furnish to the financial institution any
application for medical assistance filed pursuant to an agreement with the IV-D agency
under subsection (c) of section 17b-137, (5) a certificate signed by the Commissioner
of Veterans' Affairs pursuant to section 27-117, (6) the consent of an elderly person or
the representative of such elderly person provided to a person, department, agency or
commission pursuant to section 17b-454, provided the financial institution shall have
no obligation to determine the capacity of such elderly person or the representative of
such elderly person to provide such consent, or (7) a request for information served
upon a financial institution in accordance with subsection (e) of section 12-162.
(P.A. 77-294, S. 2, 6; P.A. 79-361, S. 1; P.A. 81-61, S. 1; P.A. 83-581, S. 37, 40; P.A. 93-262, S. 61, 87; P.A. 94-122,
S. 23, 340; P.A. 95-244, S. 3; P.A. 97-206, S. 1; June 18 Sp. Sess. P.A. 97-7, S. 13, 38; P.A. 01-10, S. 1; 01-209, S. 4, 7;
June 30 Sp. Sess. P.A. 03-3, S. 97; P.A. 07-111, S. 2.)
History: P.A. 79-361 allowed disclosure of financial records in response to certificate signed by administrative services
commissioner pursuant to Sec. 17-303; P.A. 81-61 permitted the commissioner of income maintenance and the commissioner of human resources to obtain the disclosure of financial records by use of a certificate pursuant to Sec. 17-303; P.A.
83-581 authorized disclosure in response to interrogatories by a judgment creditor or a demand by a levying officer as
provided in Secs. 52-351b and 52-356a; P.A. 93-262 replaced reference to commissioners of income maintenance and
human resources with commissioner of social services, effective July 1, 1993; P.A. 94-122 made technical changes, effective January 1, 1995; Sec. 36-9k transferred to Sec. 36a-42 in 1995; P.A. 95-244 added Subdiv. (4) re the exemption and
proviso for certificates issued by a medical provider or its attorney; P.A. 97-206 added new Subdiv. (5) re exception for
certificates signed by the Commissioner of Veterans' Affairs pursuant to Sec. 27-117; June 18 Sp. Sess. P.A. 97-7 amended
Subdiv. (4) to add "or pursuant to an agreement with the IV-D agency under subsection (e) of section 17b-137", effective
July 1, 1997; P.A. 01-10 made a technical change in Subdiv. (4); P.A. 01-209 added Subdiv.(6) re consent of an elderly
person or his or her representative provided pursuant to Sec. 17b-454, effective July 1, 2001; June 30 Sp. Sess. P.A. 03-3, in repealing Sec. 17b-259, authorized deletion of internal references to said section in this section, effective March 1,
2004; P.A. 07-111 added Subdiv. (7) re exception for requests for information served upon a financial institution in
accordance with Sec. 12-162(e).
Legislative history of section fails to indicate any intent to afford customer an implied private right of action against
financial institution for its disclosure of customer's financial records in violation of section. 283 C. 136.