Compliance 360
Compliance Center
Action RequiredCompliance is built into every workflow, not bolted on. This is the full picture across licensing, E&O, appointments, training, agreements, tax, identity, and banking — with a real-time authorization check for regulated actions.
Status by domain
Compliant
Licensing6 active licenses, all verified
Expiring Soon
E&O coverageRenews Feb 08, 2026
Action Required
Appointments1 pending (CA · Life)
Action Required
Training & certificationAnnuity training due
Compliant
AgreementsProducer agreement active
Compliant
Tax documentsW-9 on file
Compliant
Identity & businessVerified Jan 12, 2026
Under Review
Banking & payoutMicro-deposit verification
Point-of-action authorization
The compliance engine evaluates who, what, where, product and carrier before any regulated action. Change the inputs to see a real-time decision.
BLOCKEDYou are not currently authorized to submit application Life in California.
Remediation: Complete the California Life carrier appointment.
- Agent activeAccount status: Active
- License valid for stateCalifornia license found
- License verifiedStatus: Under Review
- Line of authorityLife authority present
- Carrier appointmentCalifornia Life appointment pending
- Product certificationNo outstanding training
- E&O coverageActive (expires in 21 days)
Expiring requirements
- E&O coverageRenews Feb 08, 2026Expiring Soon
Exceptions & remediation
- Appointments1 pending (CA · Life)Action Required
- Training & certificationAnnuity training dueAction Required
- Banking & payoutMicro-deposit verificationUnder Review
Remediation tasks
Expiring SoonE&O policy expires in 21 days
Upload your renewed E&O certificate or confirm auto-renewal.Action RequiredCalifornia appointment pending for Life product
Complete the carrier appointment request and product certification.Action RequiredAnnuity best-interest training due
Complete the 4-hour NAIC annuity training module.