Section 4520 - Substantially Related Criteria for Denial of License(a) For the purposes of the denial of a license pursuant to Division 1.5 (commencing with Section 475) of the Business and Professions Code, a crime, professional misconduct, or act shall be considered to be substantially related to the qualifications, functions, or duties of a professional fiduciary if to a substantial degree it evidences present or potential unfitness of a person holding a professional fiduciary license to perform the functions authorized by the license in a manner consistent with the public health, safety, or welfare.(b) In making the determination required for the denial of a license for the conviction of a crime substantially related to the qualifications, functions, or duties of a professional fiduciary, all of the following criteria shall be considered: (1) The nature and gravity of the offense;(2) The number of years elapsed since the date of the offense; and(3) The nature and duties of a professional fiduciary.(c) For purposes of subdivision (a), substantially related crimes, professional misconduct, or acts shall include, but are not limited to, the following: (1) A conviction of crimes involving domestic abuse.(2) A conviction of crimes involving elder abuse.(3) A conviction of crimes involving child abuse.(4) Conviction of a sex crime or crimes in which registration as a sex offender is required.(5) Conviction for assault and/or battery.(6) Conviction for driving under the influence of drugs or alcohol.(7) Conviction of financial crimes involving fiscal dishonesty, money laundering, fraud, deceit, robbery, theft, grand theft, larceny, burglary, identity theft, or obtaining money, labor, or property under false pretenses, or other crimes listed in Section 4521.(8) Conviction of crimes involving human trafficking.(9) Conviction of crimes involving false imprisonment.(10) Conviction of crimes involving kidnapping.(11) Conviction of crimes involving extortion.(12) Conviction of crimes involving murder or attempt thereof.(13) Conviction of crimes involving terrorism.Cal. Code Regs. Tit. 16, § 4520
1. New article 6 (sections 4520-4522) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
3. Amendment of section and NOTE filed 2-1-2021; operative 2-1-2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 6). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20 and an additional 60 calendar days pursuant to Executive Order N-71-20. Note: Authority cited: Sections 481 and 6517, Business and Professions Code. Reference: Sections 480, 481, 493, 6536 and 6537, Business and Professions Code.
1. New article 6 (sections 4520-4522) and section filed 11-26-2007 as an emergency; operative 11-26-2007 (Register 2007, No. 48). A Certificate of Compliance must be transmitted to OAL by 5-27-2008 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-26-2007 order transmitted to OAL 5-28-2008 and filed 6-16-2008 (Register 2008, No. 25).
3. Amendment of section and Note filed 2-1-2021; operative 2-1-2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 6). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20 and an additional 60 calendar days pursuant to Executive Order N-71-20.