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CA Department of Insurance
CA Department of Insurance
CA Department of Insurance

Notice - Filing Requirement for Written Consent Pursuant to U.S.C., § 1033

The California Department of Insurance (CDI) promulgated regulations (Title 10, California Code of Regulations, Chapter 5, Subchapter 1, Article 4.5, Section 2175.1 to 2177.14) setting forth the process and requirements for requesting written consent under The Violent Crime Control and Law Enforcement Act of 1994, Public Law 1033: H.R. 3355; Title 18 United States Code Section 1033 (the Act).

Under the Act, it is a criminal offense for an individual who has been convicted of a felony involving dishonesty or breach of trust or any violation of 18 U.S.C. § 1033, to willfully engage or participate in the business of insurance unless that person has first obtained the written consent of the appropriate regulatory official. Further, it is a criminal offense for any person to willfully employ, or willfully permit, such "prohibited persons" to participate in the business of insurance without the required written consent. A "Prohibited Person" may be an officer, director or employee of an insurance agency or an insurance company, an agent, solicitor, broker, consultant, third party administrator, managing general agent, or subcontractor representing an insurance agency or insurance company who engages in or transacts the business of insurance.

The CDI has jurisdiction under the Act to consider requests for written consent filed by prohibited persons who propose to participate in the business of insurance in California with a domestic insurer or a resident licensee. The CDI promulgated regulations (Title 10, California Code of Regulations, Section 2175.1 et seq.) that set forth:

  • the process and requirements to request the Commissioner's written consent;
  • the circumstances under which the consent will be granted;
  • the circumstances under which consent will be revoked; and,
  • the process to appeal denial of the written consent.

The regulations and other related information, including the application for written consent, are available on the CDI web site at 1033 application filing requirements including Frequently Asked Questions.

A prohibited person who proposes to engage in the business of insurance in California must file a 1033 consent waiver application, pay the application fee, provide all required documentation and receive written consent before becoming engaged in such business.


A prohibited person who intends to engage in or become licensed in the business of insurance in California with a foreign insurer or a nonresident licensee must obtain the written consent of his or her domiciliary insurance regulatory official and the Commissioner prior to engaging in the business of insurance in California.

It is the responsibility of insurers and producers to make a diligent effort to identify employees or prospective employees who may be prohibited persons, and to ensure that prohibited persons are not engaging in the business of insurance in violation of the Act or CDI's regulations.


Questions concerning this notice may be directed to:

California Department of Insurance
Producer Licensing Background Section
300 Capitol Mall, 16th Floor
Sacramento, CA 95814-4313
Telephone- (916) 492-3650


If you need further assistance, please call CDI's Producer Licensing Background Section at (916) 492-3650. Please be sure to include your name, telephone number, license number (if applicable), and reference the 1033 Application filing requirement.

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