New York Laws
Article 21 - Agents, Brokers, Adjusters, Consultants and Intermediaries
2112 - Certificate of Appointment of an Insurance Producer to Act as an Agent and Notice of Termination of an Insurance Producer.

(b) To appoint a producer, the appointing insurer shall file, in a
format approved by the superintendent, a notice of appointment within
fifteen days from the date the agency contract is executed or the first
insurance application is submitted.
(c) Certificates of appointment shall be valid until (1) terminated by
the appointing insurer or title insurance agent after a termination in
accordance with the provisions of the agency contract; (2) the license
is suspended or revoked by the superintendent; or (3) the license
expires and is not renewed.
(d) Every insurer, fraternal benefit society or health maintenance
organization or insurance producer or the authorized representative of
the insurer, fraternal benefit society, health maintenance organization
or insurance producer doing business in this state shall, upon
termination of the certificate of appointment as set forth in subsection
(a) of this section of any insurance agent, or title insurance agent
licensed in this state, or upon termination for cause for activities as
set forth in subsection (a) of section two thousand one hundred ten of
this article, of the certificate of appointment, of employment, of a
contract or other insurance business relationship with any insurance
producer, file with the superintendent within thirty days a statement,
in such form as the superintendent may prescribe, of the facts relative
to such termination for cause. The insurer, fraternal benefit society,
health maintenance organization, insurance producer or the authorized
representative of the insurer, fraternal benefit society, health
maintenance organization or insurance producer shall provide, within
fifteen days after notification has been sent to the superintendent, a
copy of the statement filed with the superintendent to the insurance
producer at his, or her or its last known address by certified mail,
return receipt requested, postage prepaid or by overnight delivery using
a nationally recognized carrier. Every statement made pursuant to this
subsection shall be deemed a privileged communication.
(e) The insurer, fraternal benefit society, health maintenance
organization, insurance producer or the authorized representative of the
insurer, fraternal benefit society, health maintenance organization or
insurance producer shall promptly notify the superintendent in a format
acceptable to the superintendent if, upon further review or
investigation, the insurer, fraternal benefit society, health
maintenance organization or insurance producer or the authorized
representative of the insurer, fraternal benefit society, health
maintenance organization or insurance producer discovers additional
information that would have been reportable to the superintendent had
the insurer then known of its existence. Every statement made pursuant
to this subsection shall be deemed a privileged communication.
(f)(1) Within fifteen days after making the notification required by
subsection (e) of this section the insurer, fraternal benefit society,
health maintenance organization or insurance producer or the authorized
representative of the insurer, fraternal benefit society, health
maintenance organization or insurance producer shall mail a copy of the
notification to the insurance producer at his, her or its last known

address by certified mail, return receipt requested, postage prepaid or
by overnight delivery using a nationally recognized carrier.
(2) Within thirty days after the insurance producer has received the
original or additional notification, the insurance producer may file
written comments concerning the substance of the notification with the
superintendent. The insurance producer shall, by the same means,
simultaneously send a copy of the comments to the reporting insurer,
fraternal benefit society, health maintenance organization or insurance
producer or the authorized representative of the insurer, fraternal
benefit society, health maintenance organization or insurance producer
and the comments shall become a part of the superintendent's file and
accompany every copy of a report distributed or disclosed for any reason
about the insurance producer as permitted by section one hundred ten of
this chapter.
(g)(1) In the absence of fraud, bad faith or gross negligence, an
insurer, fraternal benefit society or health maintenance organization,
or the authorized representative of the insurer, fraternal benefit
society or health maintenance organization, an insurance producer, the
superintendent, or an organization of which the superintendent is a
member and that compiles the information and makes it available to other
insurance superintendents or commissioners or regulatory or law
enforcement agencies shall not be subject to civil liability, and a
civil cause of action of any nature shall not arise against these
entities or their respective agents or employees as a result of any
statement or information required by or provided pursuant to this
section or any information relating to any statement that may be
requested in writing by the superintendent, from an insurer, fraternal
benefit society or health maintenance organization or the authorized
representative of the insurer, or insurance producer, or a statement by
a terminating insurer, fraternal benefit society or health maintenance
organization or the authorized representative of the insurer, fraternal
benefit society or health maintenance organization, or insurance
producer to an insurer, fraternal benefit society or health maintenance
organization or the authorized representative of the insurer, fraternal
benefit society or health maintenance organization, or insurance
producer, limited solely and exclusively to whether a termination for
cause was reported to the superintendent, provided that the propriety of
any termination for cause is certified in writing by an officer or
authorized representative of the insurer, fraternal benefit society or
health maintenance organization or the authorized representative of the
insurer, fraternal benefit society or health maintenance organization or
insurance producer terminating the relationship.
(2) In any action brought against a person that may have immunity
under paragraph one of this subsection for making any statement required
by this section or providing any information relating to any statement
that may be requested by the superintendent, the party bringing the
action shall plead specifically in any allegation that paragraph one of
this subsection does not apply because the person making the statement
or providing the information did so fraudulently, in bad faith or
through gross negligence.
(3) Paragraphs one and two of this subsection shall not abrogate or
modify any existing statutory or common law privileges or immunities.
(h) (1) Any documents, materials or other information in the control
or possession of the superintendent that is furnished by an insurer,
fraternal benefit society or health maintenance organization, the
authorized representative of the insurer, fraternal benefit society or
health maintenance organization, or insurance producer, or an employee
or agent thereof acting on behalf of the insurer, fraternal benefit

society or health maintenance organization, authorized representative of
the insurer, fraternal benefit society or health maintenance
organization or insurance producer relating to the termination of an
insurance producer pursuant to this section or obtained by the
superintendent in an investigation pursuant to this section shall be
confidential by law and privileged, shall not be subject to freedom of
information requests, shall not be subject to subpoena, and shall not be
subject to discovery or admissible in evidence in any private civil
action. However, the superintendent is authorized to use the documents,
materials or other information in furtherance of any regulatory or legal
action brought as a part of the superintendent's duties. Further, this
paragraph shall not apply to any documents, materials or other
information in the control or possession of any person or entity other
than the superintendent or the department, regardless of whether or not
such documents, materials or other information are identical or similar
to documents, materials or other information in the superintendent's
control or possession to which the confidentiality restrictions of this
paragraph apply.
(2) Neither the superintendent nor any person who received documents,
materials or other information while acting under the authority of the
superintendent shall be permitted or required to testify in any private
civil action concerning any confidential documents, materials, or
information subject to the provisions of paragraph one of this
subsection.
(3) Nothing in this article shall prohibit the superintendent from
releasing final, adjudicated actions including for cause terminations
that are open to public inspection pursuant to article six of the public
officers law to a data base or other clearinghouse service maintained by
the National Association of Insurance Commissioners, its affiliates or
subsidiaries.
(i) An insurer, fraternal benefit society or health maintenance
organization, authorized representative of an insurer, fraternal benefit
society or health maintenance organization or an insurance producer that
fails to report as required under the provisions of this section or that
is found to have reported fraudulently, in bad faith or through gross
negligence by a court of competent jurisdiction may, after notice and
hearing, have its license or certificate of authority suspended or
revoked and may be fined in accordance with the provisions of this
chapter, provided, however, that an insurer may be fined up to five
thousand dollars. In the case of a domestic insurer, the provisions of
article seventy-four of this chapter shall all also apply.