(a) The department or its designee may at any time investigate or audit a licensee's continuing education records and/or compliance with this subchapter. The commissioner may, after notice and opportunity for hearing, discipline a licensee under the Insurance Code, Chapter 82, Chapter 4005, Subchapter C, §§4005.101 - 4005.108, and Chapter 4101, Subchapter E, §4101.201, and this subchapter, if the commissioner determines that the license holder:
  (1) is in violation of, or has failed to comply with, the Insurance Code or this subchapter;
  (2) has provided, submitted, or filed any document which in whole or in part is false or deceptive for the purpose of providing evidence of complying with the continuing education statutes and this subchapter, or in responding to any inquiry from the department concerning compliance;
  (3) has falsified records or participated in any activity which allows circumvention of the requirements of the Insurance Code or this subchapter;
  (4) has received or used unauthorized materials or assistance or provided to another student unauthorized materials or assistance before or during an examination or interactive inquiry period; or
  (5) has failed to pay within 90 days an automatic fine assessed pursuant to the Insurance Code §4005.109 and §19.1016 of this title (relating to Automatic Fines) without properly requesting a hearing.
(b) The department or its designee may at any time investigate or audit a provider's continuing education records and/or compliance with this subchapter. The commissioner may, after notice and an opportunity for hearing, discipline a provider and/or the provider's authorized representative, officers, directors, managers or partners, under the Insurance Code Chapter 82 and Chapter 4005, Subchapter C, §§4005.101 - 4005.108, and this subchapter, if the commissioner determines that the provider and/or its authorized representative, officer, director, manager, or partner:
  (1) is in violation of, or has failed to comply with the Insurance Code or this subchapter;
  (2) has represented to the public that the provider is authorized to offer certified courses prior to the approval of the provider's registration;
  (3) has advertised any course in a manner not in compliance with this subchapter;
  (4) has used unqualified instructors or speakers to present certified courses;
  (5) has provided, submitted, or filed with the department any document which in whole or in part is false or deceptive relating to the provider's registration application, course assignment, course approval, instructor/speaker criteria, course content, or course credit, which allows circumvention of the requirements of the Insurance Code or this subchapter;
  (6) has provided, submitted, or filed falsified records relating to a student's completion of continuing education, attendance, or final examination;
  (7) has issued a certificate of completion for a course which does not comply with the registration requirements of this subchapter;
  (8) has issued a certificate of completion or certificate of attendance when the student has not met the minimum completion requirements;
  (9) has failed to pay within 90 days an automatic fine assessed pursuant to the Insurance Code §4005.109 and §19.1016 of this title without properly requesting a hearing;
  (10) has failed to notify the department of changes to any course which are required to be reported;
  (11) has failed to conduct the certified course, as specified in the course application;
  (12) has failed to monitor course attendance where monitoring is required;
  (13) has failed to insure an appropriately monitored examination where monitoring is required;
  (14) has provided or allowed the use of unauthorized materials or assistance during an examination;
  (15) has failed to provide timely refunds to students when required;
  (16) has failed to timely file any form or other required information; or
  (17) has failed to maintain course records for the required time period.
(c) If the commissioner proposes action against a licensee or provider, the affected licensee or provider is entitled to a hearing in accordance with Insurance Code, Chapter 40.

Source Note: The provisions of this §19.1015 adopted to be effective January 6, 2003, 28 TexReg 75; amended to be effective February 21, 2010, 35 TexReg 1271