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Introduction

Adding through a Compliance tab

Add Compliance wizard

Adding through the Transaction wizard

Guidelines for the Compliance page

Introduction

You can add a Compliance Record through the 1) Client Compliance tab, 2) Policy Compliance tab or 3) Transaction wizard. The information required will differ depending on the Compliance Document/Type. 

Refer to the below table for a summary of the required information for each Compliance Record type:

Compliance Record Type	Policy	Policy Period	Policy Transaction	Date Issued	Version	Send Method	Upload Document
FSG					Auto pulled from Configuration		Auto attached from Configuration
PDS
TMD
Client Compliance Document
Policy Compliance Document

 QUICK TIP: 
 When adding a Compliance Record through the Transaction wizard, information such as Policy, Policy Period and Policy Transaction are NOT required as you've preemptively selected them by adding it through the transaction itself.
 When adding through the Policy Compliance tab, the Policy infromation is NOT required as you've preemtively selected it by adding it through the policy itself. 

Adding through a Compliance tab

		View the Client or Policy
		Select the Compliance tab
		Select Add Compliance
		Complete the required information in the Add Compliance wizard
		Select Save

Add Compliance wizard

1. Compliance Type - Options available depend on which Compliance Documents are enabled in the Ledger.

2. Policy - When adding through the client, displays the policy description, class of risk and policy number of policies within the client. When adding through the policy, the field is auto-filled and non-editable.

3. Policy Period - When adding through the client & policy, displays the period of insurance, insurer and policy number of policies within the chosen policy. 

4. Date Issued - Defaults to the present date, but can be updated as needed. 

5. Version/URL - Manually enter the version number or URL here as it's a free-entry field (doesn't apply to the FSG).

6. Send Method - Refers to the method the Compliance Document was sent to the client. When Email is chosen, you will have the opportunity to generate the email through INSIGHT & send it to the client.

7. Upload Document - You can only upload PDF documents.

8. Email Template & Send To - These fields will display when Email is chosen as the Send Method & a PDF document is attached.

• Email Template: Display templates saved in Configuration.
• Send To: Display the client's and contact's email addresses.

9. Email Document - Generates the email and inserts the chosen Email Template and Addressee.

Adding through the Transaction wizard

When enabled and if you have the permissions, a Compliance page is added to the Transaction wizard where you can upload the PDS, TMD & Custom Compliance Document or update the FSG Details. 

	Initiate the Transaction wizard
	Go to the Compliance page
	Choose the Compliance Record you wish to add and select Edit
	Complete the required information
	Upload the document (not applicable for FSG)
	Select Save and repeat steps 3 - 6 for all Compliance Records you wish to create
	Complete the wizard and go to the Invoice Generation page (for New Business, Endorsement, Renewal) or Document Generation page (for Quotation)
	To generate the Compliance Documents, select the checkbox beside Advice Documents, the checkbox beside the Compliance Documen/s, the output method and Post to Accounts OR Exit/Save OR Save & Go to Summary/Exit

IMPORTANT: Do NOT select Post to Accounts unless you are ready to finalise the transaction. Once posted to accounts, changes to the transaction will NOT be allowed unless done via Endorsement or Amend. If not ready to Post to Accounts, select Save & Go to Summary OR select Exit, then Save to create the Compliance Records.

 QUICK TIP: INSIGHT will NOT duplicate a Compliance Record - If a record added through the Transaction wizard matches an existing Compliance Record on the Client, INSIGHT will NOT create a duplicate record. 

Guidelines for the Compliance page