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The agenda covers responding to CBP penalty notices, preparing for CBP’s new Broker Audit Questionnaire, and reviewing modernization highlights plus proposed broker education requirements. A detailed top-ten mistakes section explains core legal duties, including valid powers of attorney, record retention, and handling resident and nonresident principal requirements under applicable U.S. regulations.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/just-for-brokers-avoiding-mistakes-that-lead-to-compliance-problems-penalties-november-19-2020/395757/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/just-for-brokers-avoiding-mistakes-that-lead-to-compliance-problems-penalties-november-19-2020/395757.png","ImageObject",300,407,{"name":92,"@type":93},"Finn","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-06","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":44},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"What are the top-ten mistakes covered, and what is the overall goal of the webinar?","Question",{"text":112,"@type":113},"The webinar highlights ten broker mistakes that can lead to compliance problems and penalties, with guidance on how to avoid them, including how to comply with CBP expectations and requirements.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"How does the material explain the requirement to obtain a valid power of attorney (POA)?",{"text":117,"@type":113},"It states that before transacting customs business for a principal, a broker must obtain a valid POA and retain it with the broker’s books and papers, making it available to CBP upon request.",{"name":119,"@type":110,"acceptedAnswer":120},"What does the document say about penalties and where are penalty guidelines found?",{"text":121,"@type":113},"Penalties are issued under 19 U.S.C. 1641(d)(2)(A) and may be as much as $30,000 per incident or pattern of violation. Penalty and mitigation guidelines are contained in Appendix C to Part 171 of the Customs Regulations.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},395757,1790528119,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":133,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":44,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":139,"language":140,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":67,"update_tm":144,"read_time":145,"preview_page_count":4},34359740700684,"https://ap-avatar.wpscdn.com/avatar/1f400023980c374ae676?_k=1777273430885731487","The Laredo Licensed U.S. Customs Brokers Association Webinar  \nJust for Brokers  \nAvoiding Mistakes that Lead to Compliance Problems & Penalties!  \nNovember 19, 2020  \nP R ES E NT E D BY  \nG E O R G E R . T U T T L E , I I I  \nG E O R G E R . T UTT L E LAW O F F I C ESP H O N E ( 4 1 5 ) 9 8 6-8 7 8 0  \nE-MA I L : G EO @ T UTT L E LAW. CO M  \nAgenda  \n❖ Top 10 Mistakes that Brokers can make that Lead to Compliance Problems & Penalties!  \n❖ Responding to Broker penalty Notices  \n❖ Getting Prepared for CBP’s New Broker Audit Questionnaire  \n❖ Highlights: Modernization of the Customs Brokers Regulations  \n❖ A review of CBP’s new proposed Broker Education Requirements  \n❖ Q & A  \nTop Ten Broker Mistakes and how to avoid them!  \n❖ 19 USC 1641 provides:  \n▪ The Secretary may prescribe such rules and regulations relating to:  \n➢ the customs business of customs brokers as the Secretary considers necessary to protect importers and the revenue of the United States,  \n➢ To carry out the provisions of this section, including rules and regulations governing the licensing of or issuance of permits to customs brokers, the keeping of books, accounts, and records by customs brokers, and documents and correspondence, and  \n➢ Furnishing by customs brokers of any other information relating to their customs business to any duly accredited officer or employee of U.S. Customs and Border Protection.  \n❖ Penalties  \n▪ Penalties are issued under 19 U.S.C. 1641(d)(2)(A), and may be as much as $30,000 per incident or pattern of violation  \n▪ Penalty and mitigation guidelines are contained in Appendix C to Part 171 of the Customs Regulations  \nTop Ten Broker Mistakes and how to avoid them!  \n❖ Mistake 1--Failure to Obtain or Produce Valid Powers of Attorney (POA)(19 CFR § 141.46)  \n▪ Before transacting Customs business in the name of a principal, a customhouse broker is required to obtain a valid power of attorney.  \n▪ Custom brokers must retain powers of attorney with their books and papers and make them available to CBP upon request.  \n▪ § 111.23 Retention of records  \n◦ Period of retention. Powers of attorney must be retained until revoked  \n◦ Revoked powers of attorney and letters of revocation must be retained for 5 years after the date of revocation or  \n◦ for 5 years after the date the client ceases to be an “active client” as defined in §111 . 29(b)(2)(ii), whichever period is later.  \n◦ An active client means a client from whom a broker has obtained a power of attorney and for whom the broker has transacted customs business on at least two occasions within the 12-month period.  \n◦ Must make records available to CBP within 30 calendar days.  \n◦ A broker who has received a facsimile power of attorney from a client will only have to produce the power in its facsimile or alternative format. HQ 115616, April 8, 2002.  \nTop Ten Broker Mistakes and how to avoid them!  \n❖ § 141.34 Duration of power of attorney  \n▪ A Power of Attorney issued by a partnership is limited to a period not to exceed 2 years from the date of execution.  \n▪ All other powers of attorney may be granted for an unlimited period, unless limited to a specific duration of time.  \n❖ Limited Liability Companies (LLC’s)  \n▪ Limited liability companies (LLC) are not strictly a partnership, sole proprietorship, or a corporation, but incorporates elements of all three.  \n▪ CBP has not definitively ruled that an LLC is a partnership for purposes of § 141.34 See HQ 226829, dated April  \n8, 1996 and HQ 225878, DEC 13, 1995  \nTop Ten Broker Mistakes and how to avoid them!  \n❖ § 141.39 Partnerships.  \n▪ A power of attorney granted by a partnership shall state the names of all members of the partnership.  \n▪ One member of the partnership may execute a power of attorney in the name of the partnership for the transaction of all its Customs business.  \n❖ Limited Partnerships  \n▪ A power of attorney granted by a limited partnership need only state the names of the general partners who have authority t","cbCaio6UqYSbxxrB","https://ap.wps.com/l/cbCaio6UqYSbxxrB","pdf",1184409,39,"English","# Agenda\n## Top 10 Mistakes that Brokers can make that Lead to Compliance Problems & Penalties!\n## Responding to Broker penalty Notices\n## Getting Prepared for CBP’s New Broker Audit Questionnaire\n## Highlights: Modernization of the Customs Brokers Regulations\n## Review of CBP’s new proposed Broker Education Requirements\n## Q & A\n# Top Ten Broker Mistakes and how to avoid them!\n## Mistake 1: Failure to Obtain or Produce Valid Powers of Attorney (POA)\n## § 141.34 Duration of power of attorney\n## § 141.39 Partnerships and Limited Partnerships\n## Non-Resident Importers and resident/nonresident definitions\n## § 141.36 Nonresident principals in general\n## Trade Facilitation and Trade Enforcement Act of 2015: Section 116","[{\"question\":\"What are the top-ten mistakes covered, and what is the overall goal of the webinar?\",\"answer\":\"The webinar highlights ten broker mistakes that can lead to compliance problems and penalties, with guidance on how to avoid them, including how to comply with CBP expectations and requirements.\"},{\"question\":\"How does the material explain the requirement to obtain a valid power of attorney (POA)?\",\"answer\":\"It states that before transacting customs business for a principal, a broker must obtain a valid POA and retain it with the broker’s books and papers, making it available to CBP upon request.\"},{\"question\":\"What does the document say about penalties and where are penalty guidelines found?\",\"answer\":\"Penalties are issued under 19 U.S.C. 1641(d)(2)(A) and may be as much as $30,000 per incident or pattern of violation. Penalty and mitigation guidelines are contained in Appendix C to Part 171 of the Customs Regulations.\"}]","Just for Brokers - Avoiding Mistakes that Lead to Compliance Problems & Penalties! - November 19, 2020 | PDF",1790423515,98]