Compliance Dashboard
Real-time compliance health · Audit-ready reporting · NAIC #275 | NAIC #613 | FINRA 2330 | SEC Reg BI
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Compliance Health
At Risk — Immediate Attention Required
Computed live from open flags, deficient cases, stale suitability profiles, and overdue disclosures. A score of 90+ indicates audit-ready posture across NAIC, FINRA, and SEC frameworks.
Critical flags: 510
High flags: 4
Deficient cases: 1
Stale profiles: 0
4
Open Cases
0%
Completion Rate (90d)
8
Avg Days to Close
20%
Deficiency Rate
60%
Replacement Ratio
0
Stale Profiles
Case Status Distribution
- In Progress
- Pending Signatures
- Open
- Complete
- Deficient
Flags by Severity
- Open
- Resolved
Case Volume — 12 Weeks
- Opened
- Completed
- Deficient
Regulatory Coverage
| Regulation | Coverage | Status |
|---|---|---|
| NAIC Model #275 — Best Interest (Suitability) | 13-field consumer profile, 4 best-interest obligations | ✅ Covered |
| NAIC Model #613 — Replacement | Replacement notice, insurer notification, comparison worksheet | ✅ Covered |
| NAIC Model #580/#245 — Disclosures | Buyer's guides, policy summaries, illustrations | ✅ Covered |
| FINRA Rule 2330 — Variable Annuity | Principal review queue, supervisory procedures | ✅ Covered |
| SEC Regulation Best Interest | Form CRS, conflict of interest, compensation disclosure | ✅ Covered |
| IRC Section 1035 — Tax-Free Exchange | 1035 election form, tax implication disclosure | ✅ Covered |
| CA DOI — Regulation 10 | CA-specific replacement forms, FIA crediting disclosure | ✅ Covered |
| NY Regulation 60 | Preliminary + comparison statements, 45-day insurer notice | 🔶 Partial |
Active Cases Requiring Attention
| Client | LOB | Status | Days Left | Critical | Action |
|---|---|---|---|---|---|
| BuildRight Construction | Workers Comp | Deficient | — | 2 | |
| Johnson, Sarah | Fixed Indexed Annuity | Pending Signatures | — | 1 | |
| Chen, Lisa | Fixed Indexed Annuity | Open | — | 1 | |
| Smith, John | Term Life | In Progress | — | 0 |
Recent Audit Activity
| Time | Action | Client | Actor | Regulation |
|---|---|---|---|---|
| Apr 20 · 9:00 AM | Compliance case opened | Smith, John | Al Farmer | CA REP-1 |
| Apr 22 · 2:00 AM | Critical compliance flag raised | Johnson, Sarah | Nightly Engine | IRC Section 1035 |
| Apr 13 · 2:00 AM | Case escalated — past deadline | BuildRight Construction | Nightly Engine | CA REP-1 |
Historical Reports
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