Agent self-reports CE mistake and receives fine

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By The IJ Staff | Oct. 8, 2020, 2:59 p.m.

After self-reporting to the Alberta Insurance Council that he misrepresented that he was the instructor of six of his declared continuing education courses, the council has fined a life agent.

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Rep ordered to complete remedial education due to inadequate record-keeping

Missing continuing education, lapsed liability insurance nets $4,000 fine

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ALBERTA INSURANCE COUNCIL (AIC)

Regulator sanctions agents who failed to respond to demand for information

Agent in the industry one year fined $1,000 for not cooperating with regulator

Regulator levies additional sanctions in case where advisors falsified information

Alberta Insurance Council orders $145,000 civil penalty

Disciplinary Decisions

Agency fined $20,000 for repeatedly allowing unlicensed activity

Mutual fund rep fined close to $1.7-million

Missing continuing education, lapsed liability insurance nets $4,000 fine

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