Brokers - Accountability

Purpose: This bulletin explains when a broker is accountable for the conduct of an industry professional or an employee of the brokerage.

This bulletin applies to real estate brokerages and brokers, and to mortgage brokerages and brokers.

The broker is responsible for the operations of the brokerage. The broker is accountable for their own conduct and the conduct of the associate brokers, associates and employees of the brokerage. 

The broker will be held accountable if they:

The broker must take reasonable steps to stop or correct the misconduct and reduce any harm
When a broker is aware of misconduct, the broker must:   

If necessary, change your policies, procedures or supervisory practices to reflect best practices for the brokerage. Clearly communicate changes to everyone at the brokerage.

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