Model policy · version 1
Draft
Insurance annuity sales and best interest
Support appropriate annuity recommendations and supervision.
What’s in this policy5 sections · Insurance annuity sales and best interest · Read the full policy
4Obligations · things you must do
4Evidence · records that prove it
1Monitoring · checks and deadlines
0Reporting · reports you must send
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Answer a few questions and each obligation is marked applies, likely, or needs more information.
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Every obligation in this policy, in one request.
What the policy requires
Automate
Leela can perform the work through your connected systems.
Monitor
Leela can watch for the trigger, keep the clock, and flag what is late.
Prepare for review
Leela can prepare the artifact and hand it to a person for review.
Human required
A person must do the work; Leela can track it and file the evidence.
TriggerEvent-driven · Before making a covered annuity recommendation
EvidenceConsumer profile and recommendation rationale
TriggerEvent-driven · Before or at the legally required point in the recommendation
EvidenceDisclosure package and conflict assessment
TriggerEvent-driven · Before sale or recommendation and at qualification renewals
EvidenceTraining and authorization record
TriggerEvent-driven · Before issuance where required and in risk-based oversight
EvidenceSupervisory review and remediation log