Section 96.07 - Compliance Mitigation; Penalties(1) In addition to any other penalties provided by the laws of Massachusetts, a producer or insurer that violates a requirement of 211 CMR 96.00 shall be deemed to be in violation of the provisions of M.G.L. c. 176D.(2) If a violation occurs, the Commissioner may order: (a) An insurer to take appropriate corrective action for any consumer harmed by a failure to comply with 211 CMR 96.00 by the insurer, an entity contracted to perform the insurer's supervisory duties or by the producer;(b) A general agency, independent agency or the producer to take appropriate corrective action for any consumer harmed by the producer's violation of 211 CMR 96.00; and(c) Any person that employs or contracts with a producer to sell, or solicit the sale, of annuities to consumers, to take appropriate corrective action for any consumer harmed by the producer's violation of 211 CMR 96.00.(3) When determining the appropriate penalty under M.G.L. c. 176D for violations of 211 CMR 96.05(1), (2) or (3), the Commissioner may take into consideration whether corrective action was taken for the consumer promptly after such violation was discovered or the violation was not part of a pattern or practice.(4) The authority to enforce compliance with this regulation is vested exclusively with the Commissioner.Amended by Mass Register Issue 1316, eff. 7/1/2016.Amended by Mass Register Issue 1484, eff. 12/9/2022.