Ins 6.61(16)(16) Notification of formal administrative actions, criminal proceedings and lawsuits. Each intermediary shall notify the commissioner in writing of the following within 30 days: Ins 6.61(16)(a)(a) Except for action taken by the Wisconsin office of the commissioner of insurance, any formal administrative action against the intermediary taken by any state’s insurance regulatory agency, commission or board or other regulatory agency which licenses the person for any occupational activity. The notification shall include a description of the basis for the administrative action and any action taken as a result of the proceeding, a copy of the notice of hearing and other documents describing the problem, a copy of the order, consent to order, stipulation, final resolution and other relevant documents. Ins 6.61(16)(b)(b) Any initial pretrial hearing date related to any criminal prosecution of the intermediary taken in any jurisdiction, other than a misdemeanor charge related to the use of a motor vehicle or the violation of a fish and game regulation. The notification shall include a copy of the initial criminal complaint filed, the order resulting from the hearing and any other relevant legal documents. Ins 6.61(16)(c)(c) Any felony conviction or misdemeanor conviction in any jurisdiction, other than a misdemeanor conviction related to the use of a motor vehicle or the violation of a fish and game regulation. The notification shall include a copy of the initial criminal complaint or criminal charging document filed, the judgement of conviction, the sentencing document, the intermediary’s explanation of what happened to cause criminal proceedings, the intermediary’s reasons why no action should be taken regarding the intermediary’s license and any other relevant legal documents. Ins 6.61(16)(d)(d) Any lawsuit filed against the licensee or the licensee’s business in which there are allegations of misrepresentation, fraud, theft or embezzlement involving the licensee or the licensee’s business. The notification shall include a copy of the initial suit documents, the intermediary’s explanation of what happened to cause the civil proceedings, the intermediary’s reasons why no action should be taken regarding the intermediary’s license and any other relevant legal documents. Ins 6.61(17)(17) Records maintained by insurers. An insurer shall inform its intermediaries in writing of the requirements of this section and may, by written agreement, assume the responsibility to maintain these records for an individual intermediary if the records can be made immediately available to the commissioner of insurance on demand. Ins 6.61 HistoryHistory: Cr. Register, March, 1977, No. 255, eff. 4-1-77; am., Register, March, 1979, No. 279, eff. 4-1-79; cr. (5), Register, September, 1981, No. 309, eff. 10-1-81; cr. (2m), Register, November, 1986, No. 371, eff. 12-1-86; r. and recr. Register, December, 1987, No. 384, eff. 1-1-88; am. (16), Register, August, 1988, No. 392, eff. 9-1-88; am. (16), Register, April, 1992, No. 436, eff. 5-1-92; am. (15), Register, January, 1999, No. 517, eff. 2-1-99; CR 01-074; am. (3) (e), r. and recr. (16), Register January 2002 No. 553, eff. 2-1-02; CR 05-111: am. (3) (f) Register October 2006 No. 610, eff. 11-1-06; CR 09-022: am. (15) Register August 2009 No. 644, eff. 9-1-09; CR 19-025: am. (15) Register August 2020 No. 776, eff. 9-1-20. Ins 6.62Ins 6.62 Filing requirements for multiple employer trusts and associations. Ins 6.62(1)(b)1.1. “Multiple employer trust or association,” except as provided by subd. 2., means a trust, association or other person which provides or offers to provide health care benefits or coverage to employees of 2 or more employers and which is: Ins 6.62(1)(b)1.c.c. Located outside this state and is not organized and regulated as an insurer domiciled in the United States. Ins 6.62(1)(b)2.2. “Multiple employer trust or association” does not include a person which: Ins 6.62(1)(b)2.a.a. Provides benefits or coverage under or pursuant to a collective bargaining agreement; Ins 6.62(1)(b)2.b.b. Is, or which provides benefits or coverage which are fully insured by, an insurer licensed to do business in this state; Ins 6.62(1)(b)2.c.c. Provides health care benefits or coverage solely to employees of governmental units; Ins 6.62(2)(2) No intermediary may solicit, advertise, or market in this state or accept an application or place coverage for a person who resides in this state with a multiple employer trust or association unless prior to solicitation, advertising, marketing, acceptance of the application, or placing the coverage: Ins 6.62(2)(a)(a) The multiple employer trust or association files with the office the information required under sub. (5); or Ins 6.62(3)(3) No multiple employer trust or association may solicit, advertise, or market in this state or accept an application for coverage from a person who is a resident, or who has employees who are residents, of this state unless prior to soliciting, advertising, marketing, or accepting an application it files with the office the information required under sub. (5). Ins 6.62(4)(4) If subsequent to a filing under sub. (2) or (3) changes occur so that the information contained in the filing is no longer accurate, the multiple employer trust or association or intermediary which made the filing shall within 15 days of the date the change is effective make a filing under sub. (5) with the correct information. Ins 6.62(5)(5) A multiple employer trust or association or intermediary required to file information under sub. (2), (3), or (4) shall file a properly completed form prescribed by the commissioner and shall attach: Ins 6.62(5)(a)(a) A copy of any insurance policy or contract covering benefits or coverage offered by the multiple employer trust or association; Ins 6.62(5)(b)(b) A copy of the organizational documents of the multiple employer trust or association, including the articles of incorporation, bylaws or trust instrument; and