NAIC Filing Checklist
NAIC Filing Checklist
General Items
- Stay informed on regulatory changes affecting filings
- Schedule regular training for staff on NAIC filing processes
- Consider engaging with a compliance consultant if needed
Pre-Filing Preparation
- Review NAIC filing requirements for your specific jurisdiction
- Gather necessary financial statements and reports
- Confirm deadlines for filing submissions
- Identify the appropriate NAIC forms needed for filing
- Designate a responsible person or team for filing
Filing Documentation
- Complete the required NAIC forms accurately
- Compile supporting documentation for financial statements
- Ensure all data is consistent across documents
- Obtain necessary internal approvals before submission
- Prepare a cover letter outlining the submission details
Submission Process
- Submit filing via the NAIC online portal or designated method
- Verify receipt of submission confirmation from NAIC
- Keep copies of all submitted documents for internal records
- Check for any immediate follow-up requests from NAIC
Post-Filing Review
- Monitor for any communications or feedback from NAIC
- Respond promptly to any inquiries or additional information requests
- Review and address any discrepancies noted by NAIC
- Update internal records to reflect completed filing status
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