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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 (Department) promulgated regulations (Title 10, California Code of Regulations 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 Department 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 Department 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.

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.

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 the Department's regulations.

Written Consent Applications should be sent here:

California Department of Insurance
Licensing Background Section
300 Capitol Mall
Sacramento, CA 95814-4313
 

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

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