Legal Department Workflows

Legal Department Business Process Definitions & Templates

  • Workflow Template / Legal / Legal Support

    Insurance Licensing & Contracting
    Insurance Licensing & Contracting is a process that involves the licensing of new Insurance Sales representatives (agents, brokers), at the state level, as well as renewals and terminations of insurance licensing. This process includes obtaining a letter of certification and/or a renewal license from the representative's Insurance Department (all appropriate paperwork for the representative's appointment must be filled and submitted before certifications are obtained), the submission of an updated Central Registration Depository form to NASD (National Association of Securities Dealers) for approval and the dissemination of welcome materials to the contracted representative (all information concerning the new hire should be forwarded to HR, Payroll and Benefits). A termination letter should be prepared and forwarded to the Representative if the agent's contract is cancelled or if the agent resigns.
    File Formats Available: PDF, Visio, PowerPoint | See More
  • Workflow Template / Compliance

    Regulatory Product Approval
    The Regulatory Product Approval process involves coordination between product development staff, compliance and product testing team members and regulatory agencies to gain approval on a new product. The first step in this process is to define, confirm and document all regulatory requirements to prepare for internal testing. Once the product has been thoroughly tested by internal teams, it is prepared for submission to the appropriate regulatory agencies. If the product is approved by the regulators, preparation for full-scale manufacturing/production begins.
    File Formats Available: PDF, Visio | See More

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