Administrative Monetary Penalty System
C011

Contravention

A person transacted or attempted to transact business as a customs broker, or held oneself out as a customs broker and did not hold a licence issued under subsection 9(1) of the Customs Act and was not qualified under the regulations, or duly authorized to transact business as a customs broker by a person who holds such a licence.

Penalty

Occurrence Penalty
1st $500 Footnote *
2nd $750
3rd and subsequent $1,500
Footnote *

A 30-day delay in the escalation of penalty levels from the first to the second will apply to this contravention. Should a second penalty with the same contravention be issued against the same client, the system will not escalate the penalty level to level two unless 30 days have transpired from when the first Notice of Penalty Assessment (NPA) was issued or the infraction occurred. The non-escalation rule applies from the first level to the second level only; it does not apply from the second to the third level.

Return to footnote * referrer
Penalty basis
Per client
Retention period
12 months

Guidelines

Non-compliance occurs when an unlicensed agent, or a person who is not qualified under the regulations or duly authorized to transact business as a customs broker by a person who holds a broker's licence performs customs brokers' licensed activities.

A penalty will be applied for each activity performed by an unlicensed broker, or by a person who is not qualified under the regulations or not duly authorized to transact business as a customs broker by a person who holds a broker's licence, and who performs customs brokers' licensed activities.

Transactions completed for additional clients, but found at the same time, will be assessed on a per client basis at the same level.

References

Legislation

Customs Act, subsection 9(4)

D-Memo

D1-6-1, Authority to Act as Agent

Other

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