Guide
Insurance Compliance Basics: What “Audit‑Ready” Actually Means
A practical guide to building compliance into your workflow so every client file is consistent.
A repeatable compliance checklist
You don’t need a legal dissertation — you need consistent documentation.
- Consent captured
- Key disclosures recorded
- Needs analysis documented
- Recommendation notes saved
- Documents stored
Where compliance fits
Compliance belongs at checkpoints: after quoting and before binding; and during renewal review.
- After quote: capture disclosures + needs summary
- Before binding: final confirmation + docs attached
- Renewal: confirm changes + re-document needs
What to store in every file
An audit-ready file tells a clear story from inquiry to recommendation.
- Timeline of communication
- Options considered
- Why the recommendation was made
- Client decisions and acknowledgements
Want the templates version?
Download the Starter Pack to get checklists and templates you can copy/paste and run immediately.