Appendix I
Current Oversight Model
Proposed Oversight Model
8
8
Advisor's Book
of Business
M
G
A
1
M
G
A
1
Potentional for
Oversight Gaps
I
n
su
r
e
r
1
I
n
s
u
r
e
r
2
I
ns
u
r
e
r
4
I
ns
u
r
e
r
3
M
G
A
1
M
G
A
2
M
G
A
1
M
G
A
1
M
G
A
2
Advisor's Book
of Business
Oversight
M
G
A
1
M
G
A
1
I
n
s
u
r
e
r
1
I
n
su
r
e
r
2
I
ns
u
r
e
r
4
I
ns
u
r
e
r
3
M
G
A
1
M
G
A
2
P
ri
m
a
r
y
D
i
s
tri
bu
ti
on
F
ir
m
(
M
G
A
1
)
I
ns
u
r
e
r
4
'
s
D
i
stri
bu
t
i
on
F
ir
m
Seconda
r
y
D
i
stri
bu
ti
on
F
ir
m
(
M
G
A
2
)
