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Brokerage Standards Manual

VIII. Year End Reports and Office Inspections

Addressing Problems Found At The Brokerage

When deficiencies are discovered during the inspection, a copy of the inspection report may be forwarded to the Council’s Compliance Department to determine whether disciplinary action is necessary. The Council has the authority to issue a letter of warning, impose an administrative penalty, order a hearing, charge the brokerage for the cost of the inspection, and/or order a follow-up inspection. If, after a hearing, the Hearing Committee finds that there has been a breach of RESA, the Regulation, the Rules or Bylaws on the part of the brokerage, the managing broker or of a licensee, the Hearing Committee may disicpline the licensees involved.