SECTION 1.503. Application of Fingerprint Requirement

The fingerprint requirement in §1.504(a) of this subchapter (relating to Fingerprint Requirement) applies to the following individuals:

(1) applicants for any license, registration, certification, authorization or permit, including temporary or training licenses or certificates, as agents, adjusters, public insurance adjusters, counselors, risk managers, reinsurance intermediaries, title agents, title escrow officers, viatical and life settlement registrants, workers' compensation health care networks, management contractors, and administrators, under the following Insurance Code provisions:

(A) Chapter 4201;

(B) Chapter 4202;

(C) Chapter 981;

(D) Chapter 1111;

(E) Chapter 1305;

(F) Chapter 2651, Subchapter A;

(G) Chapter 2652;

(H) Chapter 4001;

(I) Chapter 4051;

(J) Chapter 4052;

(K) Chapter 4053;

(L) Chapter 4054;

(M) Chapter 4056;

(N) Chapter 4101;

(O) Chapter 4102;

(P) Chapter 4151;

(Q) Chapter 4152; or

(R) Chapter 4153.

(2) with the exception of those individuals associated with licenses issued to corporations and limited liability companies under Insurance Code Chapter 2651 Subchapter A, individuals who are required to provide biographical information and who:

(A) are or have similar responsibilities to principals, partners, officers, directors, or controlling shareholders, including limited liability company members and managers, of entities that are applicants for a license, certification, permit, registration, or authorization under provisions specified in paragraph (1) of this section; or

(B) become or will have similar responsibilities to principals, partners, officers, directors, or controlling shareholders, including limited liability company members and managers, of entities that are holders of a license, authorization, permit, certification or registration under provisions specified in paragraph (1) of this section.

(3) with regard to insurance companies, health maintenance organizations, holding companies, and other related entities, an individual who is required to provide biographical information and who:

(A) is the applicant, if the applicant is an individual, or an officer, director, or controlling shareholder of the applicant seeking an authorization as an insurer as described in Insurance Code Chapter 801 or an authorization under Insurance Code Chapters 822, 823, 841, 843, 844, 846, 2551, or 2552;

(B) becomes an officer, director, or controlling shareholder of an entity authorized as an insurer as described in Insurance Code Chapter 801 or an entity authorized under Insurance Code Chapters 822, 823, 841, 843, 844, 846, 2551, or 2552; or

(C) is the applicant if such person is an individual, or the chairman of the board, chief executive officer, president, chief financial officer, treasurer, and controller of the applicant if the applicant is not an individual, for each applicant under §7.209 of this title (relating to Form A).

(4) each person who is required to file biographical information under §5.6403 of this title (relating to Application for Initial Certificate of Approval); or

(5) each individual whose biographical information is required to be filed with the department under the Insurance Code §7001.005(a)(2) (relating to Application for Registration and Renewal of Registration) and each individual for whom the commissioner may conduct a criminal background check under the Insurance Code §7001.008 (relating to Criminal Background Check).

Source Note: The provisions of this §1.503 adopted to be effective October 23, 2006, 31 TexReg 8676; amended to be effective December 21, 2008, 33 TexReg 10183; amended to be effective September 8, 2010, 35 TexReg 8107