Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-3 - CEMETERIES, PRENEED DEALERS, AND MERCHANDISE DEALERS › Subject 590-3-1 - RULES OF GENERAL APPLICABILITY › Rule 590-3-1-.18 - Appointment of Investigative Agent, Examiner or Regulatory Monitor

Current through Rules and Regulations filed through June 27, 2024
(1) In the case of
				any investigation or examination conducted under Code Section
				 10-14-15, the Secretary of State may appoint an investigative agent, examiner or
				regulatory monitor to conduct the investigation or examination who shall have
				the powers and authority granted by the Secretary of State.
(2) An investigative agent, examiner or
				regulatory monitor must possess the necessary investigative, legal, accounting
				or financial skills and expertise to properly analyze the evidence, prepare and
				present a comprehensive report, and follow through until completion of the
				assigned task. Depending on the nature and complexity of the assignment,
				special skills and qualifications may be required. This may require a person to
				be a member of the State Bar of Georgia, a Certified Public Accountant, a
				trained and experienced state or federal government administrative or criminal
				investigator, a financial analyst or a current or former licensed person in one
				of the regulated industries. The investigative agent, examiner or regulatory
				monitor must certify that he or she does not have, nor is there a perception
				that he or she may have, a professional conflict of interest in the matter to
				be investigated. The Secretary of State, in his or her sole discretion, shall
				determine the qualifications of an investigative agent, examiner or regulatory
				monitor.
(3) Unless otherwise
				indicated in the order, supervision of the investigative agent is vested in the
				Secretary of State or his or her designee.
(4) An investigative agent, examiner or
				regulatory monitor shall be appointed by order under the appropriate Code
				Section. The order shall generally identify the matter, the persons to be
				investigated, the qualifications of the individual appointed as investigative
				agent, procedures for securing subpoenas, and reporting requirements. The order
				shall also establish the rate of compensation and invoicing and billing
				procedures.
(5) Only individuals
				may be appointed to act as investigative agents, examiners or regulatory
				monitors. If a matter requires additional individuals or expertise, additional
				appointments may be made by order in which a supervising investigative agent,
				examiner or regulatory monitor shall be designated.
(6) An investigative agent, examiner or
				regulatory monitor shall serve for a period of up to twelve (12) months. The
				period of appointment may be shortened or extended by the Secretary of State as
				circumstances require.
(7) Types of
				Cases. An investigative agent, examiner or regulatory monitor shall not
				ordinarily be appointed to handle routine matters and complaints that come
				before the Secretary of State. Examples of matters in which an appointment
				would normally occur include, by way of illustration only, any of the
				following:
(a) Complex investigations
				requiring detailed analytical skills not available to the staff due to staff
				cutbacks, new and inexperienced staff; or that require skills that are not
				presently available on staff;
(b)
				The existence of heavy workloads that make current staff unavailable to address
				the matter in a reasonable amount of time;
(c) Matters requiring extensive litigation
				skills in preparing administrative orders, civil complaints, criminal
				indictments, or similar documents;
(d) Complex audits that require the skills of
				a senior and qualified CPA specializing in the area;
(e) A regulatory enforcement order or consent
				order that requires the appointment of an investigative agent, examiner or
				regulatory monitor; or
(f) A
				multi-state cooperative investigation or program that the staff would not be
				able to complete in a timely manner.