Operations

Document Categories

Classification taxonomy — drives compliance flagging, review requirements, and retention.

fact_finder

Fact Finder

active

Discovery + needs-analysis intake form.

ComplianceReview RequiredRetention · 7y

suitability

Suitability

active

Suitability documentation per product line.

ComplianceReview RequiredRetention · 7y

budget_worksheet

Budget Worksheet

active

Household budget worksheet captured during discovery.

ComplianceRetention · 7y

brokerage_request

Brokerage Request

active

Outbound request to Exclusive Brokerage.

ComplianceRetention · 5y

brokerage_response

Brokerage Response

active

Inbound multi-policy PDF from Exclusive Brokerage.

ComplianceReview RequiredRetention · 7y

carrier_quote

Carrier Quote

active

Carrier-specific quote document.

ComplianceRetention · 5y

application

Application

active

Carrier application paperwork.

ComplianceReview RequiredRetention · 10y

delivery_receipt

Delivery Receipt

active

Signed delivery receipt confirming policy delivery.

ComplianceRetention · 10y

policy_document

Policy Document

active

Carrier-issued policy document.

ComplianceRetention · 10y

exchange_1035

1035 Exchange

active

1035 exchange paperwork.

ComplianceReview RequiredRetention · 10y

event_recap

Event Recap

active

Recap report for a sponsored or owned event.

Retention · 5y

commission_statement

Commission Statement

active

Carrier commission statement.

Retention · 7y

compliance_bundle

Compliance Bundle

active

Generated compliance bundle PDF (assembled in a later phase).

ComplianceReview RequiredRetention · 10y

identification

Identification

active

Government ID, driver license, etc. PII.

ComplianceReview RequiredRetention · 7y

consent

Consent

active

TCPA / e-sign / data sharing consents.

ComplianceRetention · 7y

other

Other

active

Uncategorized.