AuditsCompliance-in-a-Box: The Startup Guide to Audit-Ready DocsSVSid Varma · 12 min readFor insurers, agencies and brokers who answer to NY DFS, their state regulator and FinCEN. Cybersecurity, privacy and AML programs approved, sent to the people they cover, and on record by version.
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Strong agencies already have the program. The work is keeping the approvals, the training acknowledgments and every version as ready as the program.
23 NYCRR Part 500
Policies approved every year by the senior governing body, staff trained, incident response and continuity plans kept, and the annual certification signed. For a small agency on the limited exemption, that is most of what is owed.
31 CFR 1025.210
Insurers with covered products keep a written AML program approved by senior management, and make it available to FinCEN on request.
NAIC Insurance Data Security Model Law
States that adopted the model law expect a written information security program and a yearly report on it. One program can serve every state you write in.
Built for agencies and insurers who show policy control to regulators, carriers and partners.
Claims, sales and IT each get the policies that cover them.
Invite a new producer with their tags and their policies are waiting.
Producers and other viewers are unlimited and free. You pay for the people who write.
Review dates remind the policy owner ahead of the annual approval.
A revised policy is approved, then everyone it covers is asked again, automatically.
Filter the record by date, person or policy and export a PDF or CSV.
Tag people by office, team and line of business. Each policy reaches only the people it covers, and new hires get theirs on day one.
Show the regulator who has acknowledged which version, with the time and the statement they agreed to.
Regulation covers part of it. An agency runs on many other policies, and they need the same control.
One current version, published on your site if you choose, with its history kept.
A code of conduct for producers and staff, current and acknowledged.
Third-party service provider procedures versioned and reviewed each year.
Each adjuster on the current procedure, confirmed when it changes.
Staff in California and New York bring state policy and training duties with them.
One current version for every employee, confirmed when it changes.
Regulators, carriers and reinsurers ask the same thing in different words: the current program, who approved it and who has it.
Export the record as a PDF or CSV, or let an examiner open the document directly.
Need help writing the policies? Find a consultant for your standard.
No. They read, acknowledge and sign as viewers, free of charge.
Both are available. Choose for each policy when you send it. e-sign is an add-on on the Scale plan.
The new version is approved, then sent to everyone it applies to, who are asked again.
Yes. Add them as a one-time viewer and they open that document with a one-time code.
Yes. Add directors as approvers. Each approval is logged with the person and the time.
Their completed acknowledgments stay on record.
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