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Florida Surplus Lines Service Office - www.fslso.com

Skip Navigation LinksFSLSO Home » FAQ

FAQs » Compliance Review

Questions
  1. Who do I contact regarding my Compliance Review?
  2. Do all surplus lines agents receive a Compliance Review?
  3. What information do I need to provide for the Compliance Review if I write surplus lines business?
  4. What information do I need to provide for the Compliance Review if I have not written any surplus lines business?
  5. How do I respond to the findings of the Compliance Review Report?
  6. Our accounting functions are handled out of the agency’s home office in another state; do I still need to provide a financial ledger?
  7. What elements are reviewed?
  8. What policies will be reviewed?
  9. What is the purpose of a Compliance Review?
  10. What is a Basic Review?
  11. What is a No Business Review?
  12. What is the difference between a Desk Review and an On-Site Review?
  13. What is the penalty for not providing requested information in a timely manner?
  14. What are some errors/deficiencies which can lead to a referral to the Department of Financial Services?

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DISCLAIMER: The information provided should not be interpreted or used as a legal opinion, nor does it supersede directives provided by state or other governing authorities. The Florida Surplus Lines Service Office does not provide legal or tax advice. Whenever agents, brokers, companies, or policyholders have specific questions pertaining to business practices, tax implications or statutory interpretation, we urge the respective parties to seek the counsel of a competent attorney or tax consultant licensed in the appropriate jurisdiction and area of expertise.

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