Deliver disclosures and address conflicts

Insurance annuity sales and best interest policy, §3.2

Identify required role, product and compensation disclosures and material conflicts. Deliver the required information, obtain the applicable acknowledgments and document conflict management.

Event-driven

Before or at the legally required point in the recommendation

Identify required role, product and compensation disclosures and material conflicts. Deliver the required information, obtain the applicable acknowledgments and document conflict management.

• Disclosure package and conflict assessment

  Controlled record with date, owner, source and review history

Recommending agent

Leela can prepare a draft and evidence checklist for the accountable reviewer. Adoption and legal conclusions require human review.

Tell Leela about your company to see whether this applies.