Ala. Admin. Code r. 395-X-9-.13

Current through Register Vol. 43, No. 1, October 31, 2024

Section 395-X-9-.13 - Response To Requests For Information; Effect Of Pending Administrative Action

(1) If records, information, and/or a response are requested in writing of any applicant for or holder of a preneed certificate of authority by any duly appointed employee, examiner, or agent of the Board, the requested records, information, or response shall be provided within ten (10) business days of receipt of the request unless the request specifies another time not less than ten (10) business days from receipt. A failure to timely respond to a request shall be deemed a violation of this chapter unless the Board or the person making the request grants an extension in writing or the applicant or certificate holder can demonstrate to the satisfaction of the Board that there is reasonable justification for failure to timely respond.

(2) If the Board has notified an applicant for or holder of a preneed certificate of authority of any administrative action, that action must be addressed and/or resolved to the Board's satisfaction before the Board will:

(a) issue a certificate of authority or branch registration,

(b) renew a certificate or branch registration,

(c) approve a proposed transfer of a certificate or branch registration, or

(d) enter an order of termination on an application for voluntary surrender of a preneed certificate.

(3) For purposes of this Rule, "administrative action" includes:

(a) A pending administrative complaint alleging violation(s) of the Act and/or violations of the Alabama Insurance Code in connection with activities engaged in under or pursuant to a certificate of authority or without a certificate of authority in violation of the Act.

(b) Failure to comply with requirements imposed in a prior settlement agreement, consent order, or final adjudicated order in an administrative complaint proceeding or court action.

(c) A preneed examination which has identified issues to be addressed in order to bring the certificate holder into compliance with the Act and subsequent regulation.

(d) Payment of or compliance with a payment arrangement for all examination invoices and/or amounts otherwise imposed by prior settlement agreement, consent order, or final adjudicated order in or in lieu of an administrative complaint proceeding, to include, where applicable, deposits in a merchandise and services trust and/or cemetery endowment care trust.

Ala. Admin. Code r. 395-X-9-.13

Adopted by Alabama Administrative Monthly Volume XLII, Issue No. 06, March 29, 2024, eff. 5/13/2024.

Author: Charles M. Perine

Statutory Authority:Code of Ala. 1975, §§ 34-13-26, 34-13-27, 34-13-170 to -277.