Run Market Conduct Examination Preparation Checklist — Free

Exam Scope and Request Tracking

Exam period, entities, and lines of business are documented critical (required)

Yes No N/A

Examiner request log is current with owner, due date, and status critical (required)

Yes No N/A

Document repository is organized by request number and source owner

Yes No N/A

Open questions or scope clarifications are escalated to compliance leadership

Yes No N/A

Underwriting and Policy Administration Records

Sample underwriting files include application, underwriting notes, and decision rationale critical (required)

Yes No N/A

Declination, rescission, or non-renewal files include documented reason and approval trail critical (required)

Yes No N/A

Policy forms, endorsements, and rate or rule references are readily retrievable

Yes No N/A

Underwriting exceptions or overrides are documented with approval authority

Yes No N/A

File indexing allows examiner traceability from sample to source record

Yes No N/A

Claims Handling Records

Claims files include first notice of loss, investigation notes, and coverage correspondence critical (required)

Yes No N/A

Payment, reserve, and denial decisions are supported by dated documentation critical (required)

Yes No N/A

Claims timeliness metrics and exception reports are available for the exam period

Yes No N/A

Litigation, subrogation, salvage, or SIU referrals are documented where applicable

Yes No N/A

Claims file samples can be matched to the master inventory without gaps

Yes No N/A

Complaint Register and Complaint Files

Complaint register includes all complaints for the exam period critical (required)

Yes No N/A

Register fields include complaint date, source, line of business, issue, and disposition critical (required)

Yes No N/A

Complaint files contain acknowledgment, investigation notes, response, and closure evidence critical (required)

Yes No N/A

Complaint counts reconcile to regulatory reports and internal tracking reports

Yes No N/A

Repeat complaints, trends, and root causes are identified for management review

Yes No N/A

Sales Practices and Producer Oversight

Sales scripts, disclosures, and approved marketing materials are retained

Yes No N/A

Producer appointment, licensing, and training records are current for sampled personnel critical (required)

Yes No N/A

Sales complaints or misrepresentation allegations are linked to investigation files

Yes No N/A

Supervisory review evidence is available for sampled sales transactions

Yes No N/A

Remediation, Governance, and Submission Readiness

Identified deficiencies have owners, due dates, and remediation status critical (required)

Yes No N/A

Management has reviewed the package for completeness and consistency

Yes No N/A

Final submission package is indexed, version-controlled, and ready for examiner delivery critical (required)

Yes No N/A

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Run: Market Conduct Examination Preparation Checklist

Exam Scope and Request Tracking

Underwriting and Policy Administration Records

Claims Handling Records

Complaint Register and Complaint Files

Sales Practices and Producer Oversight

Remediation, Governance, and Submission Readiness

Get your results