Insurance annuity sales and best interest
AN-04Draft
Supervise recommendations and remediate exceptions
How Leela would run itEvent-driven · before issuance where required and in risk-based oversight
Proposed stepsThe requirement
Operate an insurer supervision process for covered recommendations. Review exceptions, verify relevant supporting information, track corrective action and maintain records for the governing retention period.
- Before this work
- Recommendation files and supporting information An approved supervision method, retention rules and qualified supervisor
- Applies
- Tell Leela about your company to see whether this applies.
- Status
- Setup needed
Tell Leela how you handle it today, or hand it over: see what’s next.
How Leela would run it · proposed steps
- LeelaAssemble supervision samples and flag missing documentation or exceptions using approved checks.Proposed step
- LeelaTrack reviewer findings, corrective actions and retention evidence.Proposed step
- Annuity supervision leadAn authorized supervisor judges recommendation quality, resolves exceptions and confirms corrective action.Your team decides
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Supervisory review and remediation logControlled record with date, owner, source and review history
Evidence
Supervisory review and remediation log
Insurance annuity sales and best interest §3.4
1
of 1 record
The steps are the library’s proposed workflow for this obligation: a description of the work, not a run. The records are its evidence in the library.