Audit – Module E – Office Process

Audit – Module E – Office Process

Welcome to the Audit Module E – OFFICE PROCESS. This audit is designed to assist in ensuring appropriate supervision and compliance with RIBO Regulations within brokerages and their branch offices.

As part of this audit, you are required to diligently respond to all questions below.

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SpotID

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Auditor

Contact Details

Brokerage License Number(Required)

Brokerage Name

Principal Broker Name

First Last

Your Name

First Last

Your Email

Principal Broker Handbook

Does your firm have a copy of the Principal Broker Handbook readily available?(Required)

Where does the PB handbook reside?

How often are the contents of the Principal Broker Handbook reviewed with staff?(Required)

Policy and Procedural Manual

Does your firm have a Policy and Procedural manual?(Required)

Please attach a copy of the table of contents

Max. file size: 256 MB.

If yes, is the Policy and Procedural manual reviewed and updated on a regular interval?(Required)

How often is the contents of the Policy and Procedural manual reviewed with staff?(Required)

Plan of Supervision

Does your firm have a Plan of Supervision for RIBO compliance?(Required)

Please attach a copy

Max. file size: 256 MB.

If yes, is the Plan of Supervision reviewed and updated on a regular interval?(Required)

Is this Plan of Supervision reviewed with staff?(Required)

Does your firm have a written process to supervise all branch locations, including home offices and remote work locations?(Required)

Please attach the document

Max. file size: 256 MB.

Work Arrangements

Please indicate your office work arrangements.(Required)

Are your firm customers permitted to visit remote work locations such as home offices?

Compliance

Does your firm have a Compliance Officer?

Please provide their full name

First Last

Privacy

Does your firm have a Privacy Officer?

Please provide their full name(Required)

First Last

Continuing Education

Does your firm monitor its brokers for compliance with RIBO Continuing Education requirements. (cerftificates)(Required)

Does your firm keep an up to date report of all staff's Continuing Education hours at all times?(Required)

Liability Slips

Does your firm have a procedure in place to mitigate the use of fradulent pink slips for automobile insurance?(Required)

eTransfers

Does your firm accept premium payment from consumers via e-transfers?(Required)

If yes, does your firm have a centralized email address that all staff use for the acceptance of customer e-transfers?(Required)

Please confirm the email address(Required)

If no, does you firm allow staff to receive e-transfers outside of a firm's centralized email address (i.e. broker's email address)?(Required)

Does your firm have a written procedure to monitor for compliance of premiums received by individual brokers via e-transfers?

Please attach a copy of the document(Required)

Max. file size: 256 MB.

Does your firm have an onboarding policy and guidelines procedure that is followed for new employees?(Required)

Please attach a copy of the document

Max. file size: 256 MB.

This field is for validation purposes and should be left unchanged.