reglab/statecodes huggingface dataset:
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2165 - Team and Vehicle

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 115.) No forms of policies having been
						submitted, the writing of nonadmitted insurance must be in conformity with the
						general rules and basic regulations. Questions of (a) primary coverage and (b)
						excess coverage are subject to the same rules and regulations as defined under
						Liability, Section
						2155.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2166 - Automobile

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 116.) No forms of policies having been
						submitted, the writing of nonadmitted insurance must be in conformity with the
						general rules and basic principles. Questions of (a) primary coverage and (b)
						excess coverage are subject to the same rules and regulations as defined under
						Liability, Section
						2155.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2167 - Mortgage Insurance

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 117.) No forms of policies having been
						submitted, the writing of nonadmitted insurance must be in conformity with the
						general rules and basic principles.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2168 - Aircraft Insurance

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 118.) Excluded operation under the Act.
The Code definition of aircraft insurance specifically
						excludes insurance against "loss resulting from accident or physical injury,
						fatal or non-fatal, to any natural person."
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2169 - Land Value

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 119.) This section of the Insurance Code
						repealed and Land Value insurance prohibited.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2170 - Miscellaneous

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(Ins. C. 120.) No forms of policies having been
						submitted, the writing of nonadmitted insurance must be in conformity with the
						general rules and basic principles.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2171 - Third Party Property Damage Insurance

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This rule refers to that form of coverage which is not
						necessarily confined to one class of insurance but deals with hazards under the
						general heading of third party property damage.
Recognizing the restrictions of the present market, it is
						suggested that such amount of such insurance as can readily be placed with
						admitted insurers be offered to such admitted insurers.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2171.1 - Notice to Insureds

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
On and after October 1, 1972, every certificate, policy,
						contract, cover note, or other evidence of insurance delivered or issued for
						delivery in California by a Surplus Line Broker shall contain prominently
						displayed on the face page thereof by means of a sticker, an imprint, or in
						some other manner the following statement:
This insurance is issued pursuant to the California
						Insurance Code, Sections
						1760
						through
						1780, and
						is placed in an insurer or insurers not holding a Certificate of Authority from
						or regulated by the California Insurance Commissioner.
On or before October 1, 1972, every Surplus Line Broker
						licensed by the Insurance Commissioner to transact surplus line insurance
						business in California shall report to the office of The Surplus Line
						Association its selected manner of compliance with the above-required
						notice.
1. New
						section filed 7-19-72; effective thirtieth day thereafter (Register 72, No.
						30).
Note: Authority cited: Section
						  1763,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2172 - Filing Rules

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) On
					 and after December 1, 1938, the Insurance Commissioner will excuse all surplus
					 line risks from the filing requirement if the same are filed with the Stamping
					 Office of the Surplus Line Association, with the exception of those risks filed
					 with the Insurance Commissioner through the Stamping Office.
(b) Any surplus line broker making a filing
					 with the Stamping Office is thereby deemed to constitute the Stamping Office
					 the surplus line broker's agent to make such filing with the Commissioner in
					 its discretion.
(c) The
					 Commissioner reserves the power to examine and review any and all such filings
					 with the Stamping Office and all filings therewith are subject to the exercise
					 of this power. (Ins. C. 1763.)
1. Change
						without regulatory effect amending subsections (a) and (b) filed 7-14-2021
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 2021, No. 29). Filing deadline specified in Government
						Code section
						11349.3(a)
						extended 60 calendar days pursuant to Executive Order
						N-40-20.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2173 - Pre-Condition to Placement with Nonadmitted Insurers. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 11-16-90 as an emergency; operative 11-16-90 (Register 90, No.
						50). A Certificate of Compliance must be transmitted to OAL by 3-18-91 or
						emergency language will be repealed by operation of law on the following
						day.
2. New section refiled 3-18-91 as an emergency; operative
						3-18-91 (Register 91, No. 14). A Certificate of Compliance must be transmitted
						to OAL by 7-16-91 or emergency language will be repealed by operation of law on
						the following day.
3. Editorial correction of HISTORY 2 (Register
						96, No. 16).
4. Certificate of Compliance as to 3-18-91 order
						transmitted to OAL 7-10-91; disapproved by OAL on 8-6-91 and repeal ordered
						8-12-91 (Register 96, No. 16).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Section
						  1763,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174 - Placement of Insurance with Alien Nonadmitted Insurers. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 12-28-90 as an emergency; operative 1-27-91 (Register 91, No. 4).
						A Certificate of Compliance must be transmitted to OAL by 5-28-91 or emergency
						language will be repealed by operation of law on the following
						day.
2. Repealed by operation of Government Code section
						11346.1(g)
						(Register 91, No. 41).
3. New section filed 7-1-91 as an emergency;
						operative 7-1-91 (Register 91, No. 41). A Certificate of Compliance must be
						transmitted to OAL by 10-29-91 or emergency language will be repealed by
						operation of law on the following day.
4. Editorial correction
						moving forms after section
						2174.14 (Register 92, No.
						32).
5. Repealed by operation of Government Code section
						11346.1(g)
						(Register 92, No. 39).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.1 - Definitions

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) "Filing" means
					 the providing of documents required under Insurance Code Section
					 1765.1(c), (d) and
					 (i) to the Department.
(b) "Report of Examination" means a report of
					 examination by the insurer's domiciliary regulator listing the condition of the
					 insurer at an as of date that is no later than 5 years from the date of
					 submission.
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						of former section
						2174.1 and renumbering and
						amendment of former section
						2174.2 to section
						2174.1 filed 2-24-99; operative
						2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.3 - Documents to Submit

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 Annual Renewal Filing
Within a year of the initial filing and every year
						thereafter the insurer or the licensee must file the following:
(1) Foreign Insurers
(A) Financial Documents
(i) Annual Statement as required by Insurance
					 Code Section
					 1765.1(c)(1)(A)
(ii) Audited Financial Report as required by
					 Insurance Code Section
					 1765.1(c)(1)(B)
					 & (D)
(iii) Latest Report of
					 Examination as required by Insurance Code Section
					 1765.1(c)(7)
(iv) Quarterly Financial
					 Statements
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.4 - Public Availability of Documents. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) All documents filed with the Commissioner
					 under Insurance Code Section
					 1765.1
					 except the biographical affidavits and the plan of operation, all periodic
					 filings required under the trust agreement, all order issued under Insurance
					 Code Section
					 1765.1, and
					 all evidence, pleadings and documents relating to hearings held under Insurance
					 Code Section
					 1765.1,
					 shall be available for public review. Nothing herein shall make any memorandum,
					 study or other document prepared by or for the Department staff in its official
					 capacity, for internal Department use, a public document.
(b) The Commissioner may prepare and
					 distribute to the public a list of insurers to whom section
					 1765.1 orders have been
					 issued.
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order including
						amendment of subsection (a) and NOTE transmitted to OAL 10-13-92 and filed
						11-25-92 (Register 92, No. 48).
3. Editorial correction of printing
						error in subsections (c)(3) and (c)(4) (Register 93, No. 24).
4.
						Repealer of subsections (a)-(c)(4), relocation of former section
						2174.4(d) to
						section 2174.2(d), and
						renumbering and amendment of former section
						2174.11 to section
						2174.4 filed 2-24-99; operative
						2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  856(a),
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.5 - Documents to Submit. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						filed 2-24-99; operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.6 - Filing. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						filed 2-24-99; operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.7 - Rejection of Documents. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						filed 2-24-99; operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Sections
						  1763 and
						  12977,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.8 - List of Filings. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						filed 2-24-99; operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.9 - Standards For Evaluation Of Insurers. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order including
						amendment of subsection (a)(4) transmitted to OAL 10-13-92 and filed 11-25-92
						(Register 92, No. 48).
3. Repealer filed 2-24-99; operative 2-24-99
						pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763,
						  1765 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.10 - Procedures For Orders Under Section 1765.1. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3. Repealer
						filed 2-24-99; operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.11 - Public Availability of Documents. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order transmitted to
						OAL 10-13-92 and filed 11-25-92 (Register 92, No. 48).
3.
						Renumbering of former section
						2174.11 to section
						2174.4 filed 2-24-99; operative
						2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  856(a),
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.12 - Status of Nonadmitted Insurers. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order including
						amendment of section transmitted to OAL 10-13-92 and filed 11-25-92 (Register
						92, No. 48).
3. Repealer filed 2-24-99; operative 2-24-99 pursuant
						to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763,
						  1765,
						  1765.1 and
						  1776,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.13 - Transition. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Certificate of Compliance as to 6-12-92 order including
						amendment of section transmitted to OAL 10-13-92 and filed 11-25-92 (Register
						92, No. 48).
3. Repealer filed 2-24-99; operative 2-24-99 pursuant
						to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763,
						  Insurance Code. Reference: Sections
						  1763 and
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4 - Surplus Lines › Rules Covering Specific Policy Forms Heretofore Submitted to the Commissioner › Section 2174.14 - Notice to Licensees. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
						section filed 6-12-92 as an emergency; operative 6-12-92 (Register 92, No. 24).
						A Certificate of Compliance must be transmitted to OAL 10-12-92 or emergency
						language will be repealed by operation of law on the following
						day.
2. Editorial correction adding Appendices C and D (Register 92,
						No. 30).
3. Certificate of Compliance as to 6-12-92 order
						transmitted to OAL 10-13-92 and filed 11-25-92 (Register 92, No.
						48).
4. Repealer of section and appendices A-D filed 2-24-99;
						operative 2-24-99 pursuant to Government Code section
						11343.4(d)
						(Register 99, No. 9).
Note: Authority cited: Section
						  1763 and
						  1765.1,
						  Insurance Code. Reference: Section
						  1765.1,
						  Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175 - Procedures Governing Prohibited Persons

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New
					 article 4.5 (sections
					 2175-2177.14) filed 3-10-2003;
					 operative 4-9-2003 (Register 2003, No.
					 11).
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.1 - Purpose

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The purpose of these regulations is to implement the
					 provisions of Title 18
					 United States Code sections 1033"(the Act"),
					 as well as California Insurance Code sections
					 1723 and
					 1742.2.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.2 - Definitions

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
For the purpose of these regulations, the following
					 definitions shall apply:
(a)
				  "Application" shall mean any filing made with the California Department of
				  Insurance (Department) for written consent to engage in the business of
				  insurance.
(b) "Applicant" shall
				  mean any person subject to the provisions of Title
				  18 United States Code §
											1033, who files an application for written
				  consent to engage in the business of insurance.
(c) "Breach of Trust" refers to certain
				  crimes or offenses, including, but not limited to, any offense constituting or
				  involving misuse, misapplication or misappropriation of (1) anything of value
				  held as a fiduciary (including, but not limited to, a trustee, administrator,
				  executor, conservator, receiver, guardian, agent, employee, partner, officer,
				  director or public servant) or (2) anything of value of any public, private or
				  charitable entity.
(d) "Burden of
				  Proof" means the necessity or duty of proving a fact that is in dispute on an
				  issue raised at a hearing on a Request for Written Consent.
(e) "Business of Insurance" means:
(1) the writing of insurance, or
(2) the reinsuring of risks, by an insurer,
				  including all acts necessary or incidental to such writing or reinsurance and
				  the activities of persons who act as, or are, officers, directors, agents, or
				  employees of insurers or who are other persons authorized to act on behalf of
				  such persons.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.3 - Who Must Comply

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Any and all Prohibited Persons who are currently
					 transacting, or engaging in, the business of insurance, or who intend to
					 transact, or engage in, the business of insurance, must submit a completed
					 Request for Consent to the California Department of Insurance
					 (Department).
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.4 - Prohibited Persons Currently Engaged in or Transacting the Business of Insurance

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
				  There are no provisions in the Act or these regulations that exempt or except
				  any Prohibited Person, who is currently engaging in, or transacting, the
				  business of insurance from compliance with the Act and these regulations. The
				  Act and these regulations expressly apply to all persons currently licensed who
				  have been convicted of any criminal felony involving dishonesty, breach of
				  trust or any violation of the Act.
(b) Any and all currently licensed
				  individuals who are subject to the Act and who were granted a license by the
				  Department following full and complete disclosure of their criminal history
				  shall be deemed to have the Insurance Commissioner's temporary consent to
				  engage in or transact the business of insurance within the scope of their
				  license authority only if the currently licensed individual submits an
				  application for written consent within ninety (90) days from the effective date
				  of these regulations. Any current licensee who is a Prohibited Person and who
				  fails to submit an application for Written Consent within the ninety (90) day
				  period will be barred from transacting the business of insurance as set forth
				  in Title 18 USC section
				  1033.
(c) Any and all Prohibited Persons engaging
				  in, or transacting, the business of insurance, without the express Written
				  Consent of the Commissioner, are in violation of the Act and risk federal
				  criminal sanctions.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.5 - Responsibility of Insurers and Other Employers to Identify Prohibited Persons

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) It is the
				  responsibility of insurers and of any other employer engaging in, or
				  transacting the business of insurance to make a diligent effort to identify
				  Prohibited Persons and to ensure that Prohibited Persons are not engaging in,
				  or transacting, the business of insurance in violation of the Act and of these
				  regulations. Insurers and other employers must actively seek to determine
				  whether or not Prohibited Persons are in their employ and are engaging in or
				  transacting the business of insurance.
(b) The existence of a valid license for a
				  Prohibited Person does not waive, excuse, except or exempt an insurer or other
				  employer from its responsibility under subdivision (a) nor the insurer's or
				  other employer's ultimate responsibility for compliance with the provisions of
				  the Act and these regulations.
(c)
				  An insurer or employer must notify the Department of Insurance, in writing, of
				  any Prohibited Person who is engaged in the business of insurance without
				  Written Consent.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.7 - Consideration of Applications for Written Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The Insurance Commissioner shall have the
				  sole discretion to grant or deny any Application for Written Consent to engage
				  in or transact the business of insurance.
(b) Factors to be considered in granting or
				  denying an Application for Written Consent will include, but are not limited
				  to:
(1) The nature and severity of the
				  crime.
(2) The length of time since
				  the conviction.
(3) The injury
				  and/or loss caused by the Prohibited Person. Whether the conviction is related
				  to the business of insurance.
(4)
				  Whether the Prohibited Person received a pardon from the sovereign that
				  convicted him.
(5) Whether the
				  Prohibited Person completed parole or probation.
(6) Whether a breach of trust, dishonesty or
				  a violation of the Act was involved.
(7) The nature and strength of character
				  reference letters.
(8) The person's
				  business and personal record before and after the conviction.
(9) Whether and to what extent the person has
				  made material false statements in an application, renewal or in other documents
				  filed with the Commissioner.
(10)
				  Whether and to what extent the person has made material false statements in
				  applications or other documents filed with other State or federal
				  agencies.
(11) Whether the
				  Prohibited Person's conviction was expunged.
(12) Whether the conviction was received in a
				  foreign country.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.8 - Written Consent as a Prerequisite for Obtaining or Retaining a License

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Prohibited
				  Persons are required to obtain the express, written consent of the Commissioner
				  before any license application shall be considered.
(b) Licensees, who are prohibited persons,
				  must have the Commissioner's express Written Consent pursuant to the Act and
				  these regulations prior to engaging in, or transacting, the business of
				  insurance. Licensees who have complied with the provisions of section
				  2175.4 herein and who are within
				  the ninety (90) day period specified in section
				  2175.4 are not subject to this
				  provision.
(c) No Prohibited Person
				  shall be granted a license, shall be permitted to retain a license or shall
				  engage in, or transact, the business of insurance if their Request for Written
				  Consent has been denied.
1. New
					 section filed 8-21-2003; operative 8-21-2003 pursuant to Government Code
					 section
					 11343.4
					 (Register 2003, No. 34).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.9 - Standard Form of Application for Requesting Written Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Prohibited Persons seeking the
				  Commissioner's Written Consent will use the NAIC Short Form Application For
				  Written Consent to Engage in the Business of Insurance Pursuant to
				  18 U.S.C. §
											1033 and
				  1034 for the use of Prohibited
				  Persons (dated 1998), which is incorporated herein by this reference. The
				  Prohibited Person seeking Written Consent must sign the Application.
(b) The Commissioner may request additional
				  information at any time from an Applicant to support a pending Application for
				  Written Consent. The Applicant is required to support a pending Application by
				  promptly providing any requested information. Failure to provide such
				  information may result in the Commissioner's denial of the
				  Application.
(c) If consent is
				  denied, the Applicant and the employer identified in the application will be
				  notified in writing of the basis for that denial. The Notice of Denial will
				  provide the Applicant with a denial statement as well as a time line and
				  instruction for any appeal of the denial.
(d) Upon approval, the Commissioner will
				  provide documentation of Written Consent containing the terms and conditions
				  upon which the consent has been granted. Failure to comply with all terms and
				  conditions of consent will result in the immediate termination of consent and
				  summary revocation of license to transact the business of insurance. Terms and
				  conditions of consent may include, but are not limited, to the following:
Any subsequent misdemeanor or felony charge involving
					 dishonesty, breach of trust or violation of
					 18 U.S.C. §
												1033 against a Prohibited Person;
Failure to notify the Department of any misdemeanor or
					 felony charge involving dishonesty, breach of trust or violation of
					 18 U.S.C. §
												1033 against a Prohibited Person;
The filing of an Administrative sanction against a
					 Prohibited Person;
Failure to comply with any provision of these
					 regulations;
Failure to notify the Department upon the filing of any
					 action against a Prohibited Person by a regulator;
Failure to amend an application for Written Consent upon a
					 change in job duties;
Failure to notify employer of status as a Prohibited
					 Person.
1. New
					 section filed 8-21-2003; operative 8-21-2003 pursuant to Government Code
					 section
					 11343.4
					 (Register 2003, No. 34).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1669,
						1723,
						1727 and
						1742.2,
						Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2175.10 - Requirements for Character References

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Character references may be submitted to the Department for
					 the Commissioner's consideration. Character references shall state how long and
					 in what capacity the person making the reference has known the applicant.
					 References shall also expressly state that the person providing the reference
					 is aware that the reference is being provided in connection with a Request for
					 Written Consent to engage in or transact the business of insurance despite the
					 existence of a relevant felony criminal conviction.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
2. Editorial correction adding HISTORY 1 (Register 2003, No.
					 34).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code Reference: Sections
						1723,
						1727 and
						1742.2,
						Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2176 - Denial, Expiration or Termination of Written Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2176.1 - Effect of False or Misleading Statements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Any Written Consent granted by the
				  Commissioner shall be conditioned upon the truth and veracity of the documents
				  and information submitted by or on behalf of the Prohibited Person making the
				  Request for Written Consent. In the event that the Department determines that
				  the Prohibited Person receiving the Written Consent, or their representative,
				  has made materially false or misleading statements, or has failed to disclose
				  material information, the Written Consent shall be void ab initio.
(b) If the Department determines that a
				  Prohibited Person has violated the terms of Written Consent in any way, the
				  consent shall terminate immediately.
(c) Knowingly and willfully providing false
				  information to the Department for any purpose constitutes a violation of the
				  Act and is grounds for immediate, summary revocation of any license issued by
				  the Department.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2176.2 - Written Consent Effective for Specified Positions and Responsibilities Only

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Any Written Consent issued by the Commissioner shall be for
					 the Prohibited Person remaining in the same or similar job position with the
					 same responsibilities as attested to in the initial Request for Written
					 Consent. The Written Consent will contain a reference to Title
					 18 U.S.C.
					 1033(e)(1)(B)(2). A change
					 in job responsibilities requires the Prohibited Person to file an amended
					 Request for Written Consent. Failure to amend an application for Written
					 Consent upon any change in job responsibilities will result in immediate
					 termination of Written Consent.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2176.3 - Temporary Written Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The Commissioner has the discretion to
				  grant a temporary Written Consent that will expire at a time certain.
(b) Upon the expiration of a temporary
				  Written Consent, the Prohibited Person is in violation of the Act if the
				  Prohibited Person is engaging in or transacting the business of insurance
				  without first receiving a new, express, Written Consent from the
				  Commissioner.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code Reference: Sections
						1065.3,
						1669 and
						1742.2,
						Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2176.4 - Subsequent Convictions of Prohibited Persons Previously Granted Written Consent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Any Prohibited Person given a Written Consent to
					 participate in the business of insurance shall immediately notify the
					 Department if the Prohibited Person is subsequently convicted of an offense
					 under 18 U.S.C. §
											1033, or any felony offense involving
					 dishonesty or breach of trust making them once again subject to the provisions
					 of 18 U.S.C. §
											1033 and these regulations. The consent
					 previously issued is terminated automatically upon arrest or conviction for the
					 subsequent offense. Immediately upon notification that consent has been
					 terminated, the Prohibited Person must return the original Written Consent and
					 all copies to the Department.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1065.3,
						1669 and
						1742.2,
						Insurance Code.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2177.1 - Time Limit in Which to Request a Hearing

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Applicants who have received a Notice of Denial of Consent
					 may request a hearing, in writing, within sixty (60) calendar days after the
					 issue date of the Notice.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.
California Code of Regulations › Title 10 - Investment › Chapter 5 - Insurance Commissioner › Subchapter 1 - Production of Insurance › Article 4.5 - Procedures Governing Persons Subject to Title 18 United States Code Section 1033 › Section 2177.2 - Form of Request for Hearing and Information Required

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
A Request for Hearing shall be in writing and must
					 include:
(a) The name, address,
				  telephone number, and fax number of the Prohibited Person;
(b) The name, address, telephone number, and
				  fax number of the Prohibited Person's representative, if any;
(c) A statement explaining why the Prohibited
				  Person should not be denied the Commissioner's Written Consent;
(d) A copy of the Commissioner's Denial of
				  Consent;
(e) Copies of any
				  additional documents that were not included in the Prohibited Person's initial
				  Application, which support the Prohibited Person's explanatory statement and
				  upon which the Prohibited Person intends to rely at the hearing.
1. New
					 section filed 3-10-2003; operative 4-9-2003 (Register 2003, No.
					 11).
Note: Authority cited: Sections
						1723 and
						1742.2,
						Insurance Code. Reference: Sections
						1723 and
						1742.2,
						Insurance Code; and 18
						U.S.C. §
													1033.