Compliance Check Perform a structured regulatory compliance audit of a workflow or business process against applicable insurance, mortgage, or financial services requirements. Step 1: Identify Applicable Regulations Determine which regulatory frameworks apply based on entity type, product lines, and states of operation. Insurance: - State Department of Insurance rules for each state of operation (admitted vs. surplus lines) - NAIC model laws (Market Conduct, Privacy, Claims Settlement Practices) - Producer licensing requirements (lines of authority, CE, non-resident) Mortgage: - TRID (TILA-RE…