SOX Compliance

Corporate Compliance and Ethics

Last Updated: November 2024

Our Commitment to Ethical Business Practices

Cauldron Insurance Agency is committed to maintaining the highest standards of corporate governance, ethical conduct, and compliance with all applicable laws and regulations. This page outlines our commitment to transparency and ethical business practices.

Code of Conduct

Our Code of Conduct establishes the standards of behavior expected of all employees, agents, and business partners:

• Act with integrity and honesty in all business dealings
• Comply with all applicable laws and regulations
• Avoid conflicts of interest
• Protect confidential information
• Report suspected violations
• Treat all individuals with respect and dignity

Financial Integrity

We maintain rigorous financial controls and practices:

• Accurate and complete financial records
• Internal controls over financial reporting
• Regular audits and reviews
• Compliance with accounting standards

Whistleblower Protection

We encourage the reporting of suspected violations of law, regulations, or company policies. We prohibit retaliation against anyone who reports concerns in good faith.

How to Report Concerns:

• Email: compliance@cauldroninsurance.com
• Phone: (555) 123-4567
• Anonymous reporting available

Anti-Fraud Program

We have implemented comprehensive measures to prevent, detect, and respond to fraud:

• Employee training on fraud awareness
• Monitoring systems for suspicious activity
• Investigation procedures for reported incidents
• Cooperation with law enforcement when appropriate

Regulatory Compliance

We maintain compliance with all applicable insurance regulations, including:

• State insurance department requirements
• Federal regulations applicable to insurance
• Anti-money laundering requirements
• Consumer protection laws

Questions

For questions about our compliance practices, contact:

Compliance Department
Cauldron Insurance Agency
Email: compliance@cauldroninsurance.com
Phone: (555) 123-4567