The Principal Broker Handbook is a comprehensive sourcebook of RIBO regulatory requirements and guidelines. The Guidelines are based upon the Principal Broker responsibilities in the RIBO By-Laws. The intention is to provide Principal Brokers and Deputy Principal Brokers with a tool to better manage their supervisory responsibilities undertaken on behalf of their brokerage.
- Index & Preface
- Principal Broker
- Deputy Principal Broker
- Branch Locations
- Key Regulatory Provisions
- Code of Conduct
- Supplementary Resources
- Forms
Updates
- Fair Treatment of Customers (2019)
- Federal Legislation Awareness Compliance
- Fraud Prevention and Education
- New Business Guidelines
- Optional Benefits – Auto Insurance
- Product Suitability – A Best Practices Approach
- Water Damage