Insurance licensing and distribution
IL-04Draft
Review outsourced distribution
How Leela would run itAnnual · at onboarding and the company’s annual distribution review
Proposed stepsThe requirement
Sample intermediaries, websites and referral arrangements for activity beyond approved authority. Update contracts and supervision, and close corrective actions. The review interval is a company control.
- Before this work
- Approved distribution arrangements, contracts and accessible marketing materials A sampling plan and distribution compliance reviewer
- 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 intermediary, website and referral samples and flag departures from the approved activity matrix.Proposed step
- LeelaPrepare review findings and track contract changes and corrective actions.Proposed step
- Distribution compliance leadA distribution specialist determines whether activity exceeds authority and approves contract or supervision changes.Your team decides
What Leela keepsThe evidence this obligation leaves, as the work happens
Listed from the policy libraryContents
- 01Distribution review and remediation evidenceControlled record with date, owner, source and review history
Evidence
Distribution review and remediation evidence
Insurance licensing and distribution §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.