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Supervision and Sales Agreement

Supervision and Sales Agreement 2025

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The document is a Broker/Dealer Supervision and Sales Agreement between AFSG Securities Corporation, PFL Life Insurance Company, and a designated Broker. It outlines the roles, responsibilities, and agreements of each party regarding the solicitation and sale of variable life insurance and annuity contracts. Key sections include definitions of terms, obligations of the Distributor and Broker, compensation structures, compliance with regulatory requirements, indemnity clauses, and provisions for termination and governing law.

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Click ‘Get Form’ to open the Supervision and Sales Agreement in our editor.
Begin by filling in the date at the top of the form. This is crucial as it marks the effective date of the agreement.
In the 'Broker' section, enter the name of your corporation and its legal structure. Ensure accuracy for compliance purposes.
Proceed to Section A, where you will define key terms such as 'Contracts' and 'Accounts'. Fill these out based on your specific agreements.
In Section B, outline your agreements with the Distributor. Clearly state your authority to solicit applications for Contracts.
Complete Section C by detailing your obligations as a Broker, including compliance with training and ethical standards.
Review Sections D through J for compensation details, complaints procedures, and termination clauses. Make sure all information is accurate before finalizing.

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What is a supervision agreement?

A supervision agreement is a contract between a supervisor and supervisee that outlines the terms and conditions of their working relationship.

What is the primary purpose of a supervision agreement?

*The purpose of the Supervision Agreement is to ensure that both the supervisor and trainee understand and have a plan to comply with the laws and regulations related to the accrual of supervised professional experience (SPE).

What is sales supervision?

Sales supervisors help lead team members to sell the products on offer in a business. You might work on a busy shop floor, making sure its stocked with the goods your customers need. Or you could be in an office directing your team to provide excellent customer service on sales calls.

What should be in a supervision contract?

The content of supervision will reflect the four functions of supervision: management, development, support and mediation. All supervision sessions should be recorded including areas covered, discussion points agreed action plans, timescales and who the action is to be undertaken by.

Why is supervision contract important?

The supervisory relationship is like a contract. Discussing a supervision agreement provides clarity around expectations and helps reveal what matters to each party, and gives both parties a voice to what happens during supervision.

What is the main purpose of supervision?

Supervision offers a vital channel of communication between management and staff. They can use it to share useful information with each other and discuss any challenges or issues. This ensures that staff feel confident to do their role and can access the support that they need to manage difficult situations.

What are the four types of agreements?

4 Common Types of Contracts Non-Disclosure Agreement. Companies often request or provide a Non-Disclosure Agreement (NDA) when they have sensitive or confidential information to disclose. Master Services Agreement. Order Form. Buy-Side Contracts.

Supervision and Sales Agreement 2025

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