Part 1 - Authorizations, Licences and Registrations

Division 7 - Refusal, Suspension & Cancellation of a Licence or Registration Certificate

Refusal
34(1) The executive director may refuse to issue a licence or registration certificate to a person, or may recommend that a hearing panel refuse to issue a licence or registration certificate, where the executive director is of the opinion that:
(a) the person has provided false or misleading information to the executive director in the course of applying for a licence or registration certificate or the renewal of either;
(b) the person is someone against whom a member of the public has obtained a judgment arising out of that person’s action as an industry member and no reasonable arrangements have been made to satisfy it;
(c) deleted (Council Resolution 2010-7, Nov 2010)
(d) it would not be in the public interest or it would harm the integrity of the industry or bring the industry into disrepute to issue a licence or a registration certificate to that person.
(e) the person is not of good character and reputation or is otherwise unfit to be licensed;
(f) Repealed July 3/12 Resolution 2012-3
(g) Repealed July 3/12 Resolution 2012-3
(h) the person is a brokerage and any director, officer, shareholder or partner, as the case may be, associated with the brokerage:
  (i) is not of good character and reputation; or,
  (ii) has made an application to withdraw from the industry pursuant to the Act and the application was approved.
(i) the person has breached the Education Code of Conduct for Learners.
34(2) If an application for a licence or registration certificate is refused by the executive director or a hearing panel, the application fee, less any service fee established by Council, shall be returned to the applicant.
 
Jul 1/06, Nov 2010 2010-7, Jul 3/12 2012-3
   
Suspension or cancellation of brokerage, appraiser or candidate licence
35(1) In addition to the circumstances under which a licence may be suspended or cancelled under the Act, the executive director may suspend or cancel a brokerage, appraiser or candidate licence for any of the following reasons:
(a) when the brokerage, appraiser or candidate fails to maintain or make available for the purposes of a review proper records at the registered business office;
(b) when the brokerage, appraiser or candidate fails to immediately fund a trust shortage as directed by the executive director; or
(c) when an investigator or auditor employed by the Council is denied or restricted access to the registered business office or to any or all of the records of the brokerage, appraiser or candidate or is, in any way, prevented from carrying out his duties and responsibilities under the Act.
35(2) When the executive director receives information that, in his opinion, indicates the individual who is registered as the broker for a particular brokerage:
(a) does not meet the qualifications of a broker;
(b)

has resigned or ceased to be the broker;

(c) is no longer able to perform the duties and responsibilities of a broker outlined in these Rules;
(d)

exercises little or no authority; or

(e)

is interfered with, restricted or in any way prevented from, performing the duties and responsibilities of a broker outlined in these Rules;

the executive director may suspend the licence of the brokerage.
Jul 1/06
 
Temporary continuation of brokerage licence
36(1) Notwithstanding section 35, the executive director may continue the licence of the brokerage:
(a) by issuing a temporary broker licence and registration certificate to any individual who, in the executive director’s opinion is suitable to carry out the duties and responsibilities of a broker under these Rules; or
(b) upon the immediate written application to the executive director by the owner of the brokerage or an authorized official to register a replacement broker within seven days.
36(2) The term of a temporary broker licence and registration certificate shall not exceed eight months.
36(3) The application to register a replacement broker must include information acceptable to the executive director and provide for the continuation of brokerage management and control in the interim period.
 
Jul 1/06
   
Brokerage ceasing to carry on business
37(1) A brokerage that ceases to carry on the business of a brokerage shall:
(a) immediately notify the executive director in writing; and
(b) within 30 days of ceasing to carry on business, provide to the executive director, in a form acceptable to the executive director, an accountant’s report on the status of monies held in trust including any trust account(s).
37(2) The executive director may require a brokerage that ceases to carry on business to provide additional information about any monies held in trust including any brokerage’s trust account(s) or that the accountant's report contain such further information as the executive director directs.
37(3)

Upon receipt of a notification that a brokerage has ceased to carry on the business of a brokerage, the executive director shall:

(a) suspend the licence of the brokerage; and
(b) terminate the licence of the brokerage when the brokerage has provided
  (i) the accountant’s report referred to in (1) above ;
  (ii) the additional information referred to in (2) above; and
  (iii) a document signed by the broker, owner or authorized official, satisfactory to the executive director, confirming adequate arrangements have been made with respect to the future status of any monies held in trust including any brokerage trust account(s) and the maintenance of brokerage records as required by the Act.
   
38 Deleted - Resolution 2010-7
 
Suspension or cancellation of industry member licence
38.1(1) Subsequent to issuing a licence, and in addition to circumstances under which a licence may be suspended or cancelled under the Act, the executive director shall suspend or cancel a person's licence when the industry member:
(a) contravenes or fails to comply with a term, condition or restriction attached to the person's licence by the executive director;
(b) contravenes or fails to comply with an order of a hearing panel, appeal panel or the court including any term, condition or restriction attached to the person's licence;
(c) fails to pay, or make satisfactory arrangements to pay, any outstanding fees, levies, premiums, penalties, fines, or costs imposed by a hearing panel, appeal panel or the court, administrative penalties, or any other payments required to be paid pursuant to the Act, Regulations, Rules or Bylaws.
(2) Notwithstanding subsection(1), before suspending or cancelling an industry member's licence, the executive director may in extenuation circumstances provide the industry member with additional time, or enter into arrangements with the industry member that are satisfactory to the executive director, for the industry member to comply with the requirements referred to in subsection (1).
(3) Subsequent to issuing a licence, and in addition to circumstances under which a licence may be suspended or cancelled under the Act, the executive director may suspend or cancel a person's licence when:
(a) in matters pertaining to licensing, the industry member:
  (i) withholds or provides false and misleading information to the executive director in the process of applying for a licence;
  (ii) swears a false affidavit;
  (iii) fails to comply with any request for information made by the executive director or the Council or to reply in a constructive way to correspondence from the executive director or the Council.
(b) Repealed July 3-12 Resolution 2012-3
(c) Repealed July 3-12 Resolution 2012-3
(d) fails to maintain the appropriate insurance coverage as required by the Act, Regulations, Rules or Bylaws;
(e) the industry member fails to file or submit any records or accounting reports as required under the Act, Regulations, Rules or Bylaws.
  (f) the industry member has breached the Education Code of Conduct for Learners.
(4) Prior to determining whether a person's licence should be suspended or cancelled under subsection (3), and in the case of a suspension for what duration, the executive director or an individual appointed by the executive director to carry out an evidence gathering function for purposes of a licensing review, will gather evidence and information from the person and other relevant parties.
(5) At the commencement of the licensing review, the person will be provided:
(a) notice by the executive director or an individual appointed by the executive director to carry out an evidence gathering function of the specific fact(s) and issue(s) relating to the licensing matter, including notice that a decision may result in a licence suspension or cancellation by a date specified in the notice; and,
(b) notice by the executive director or an individual appointed by the executive director to carry out an evidence gathering function that failure to participate in the licensing review and supply requested information to the executive director or an individual appointed by the executive director to carry out the evidence gathering function by the date specified in the notice may result in a licence suspension or cancellation.
(6) Upon completion of the evidence gathering, the person will be provided:
(a) disclosure of all relevant evidence and information relating to the licensing review; and,
(b) an opportunity to make oral submissions in the licensing review, or if the person chooses, written submissions, and additional relevant evidence, to the executive director within 10 days of the date of service of the disclosure set out in (6)(a).
(7) The person will be advised that the person's failure to make submissions to the executive director within 10 days of the date of service of the disclosure set out in (6)(a) may result in a licence suspension or cancellation for a duration to be determined by the executive director.
(8) The executive director will decide whether or not the person's licence will be suspended or cancelled, and in the case of a suspension, for what duration.
(9) The executive director will serve the decision on the person.
 
Jul 1/06, Nov 2010 2010-7, Jul 3/12 2012-3

 

Continue with Part 1 Division 8 - Review of Executive Director's Decision

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