As an Advisor, a key part of the screening, contracting and annual attestation processes, is ensuring that all sections within your APEXA profile are accurate and up to date. This includes the responses provided in the CLHIA Advisor Screening questionnaire – specifically questions #43 which pertains to the Advisor Disclosure Statement and #44 which pertains to Needs-Based Sales Practices.
It is mandatory to provide a response to these questions and if answered ‘yes’, upload a current version of your Advisor Disclosure Statement and Needs-Based Sales Practices Template to APEXA. Doing so will ensure you are compliant with requirements and will provide the parties you are connected to with visibility to the documents, so they can complete their review process.
If you are new to the industry or do not yet have these documents available, you can answer ‘no’ and provide an explanation in the text box that will appear, in order to proceed with profile setup or contracting. If you need guidance on how to produce these templates, be sure to work with your compliance team, MGA/AGA or carrier partners. Once you have these templates available, you can modify these questions within your APEXA profile and upload the documents to fulfill your requirement.
