Holding Company Filings Article 15
All transactions and submissions related to holding company and affiliated matters.
Principal Contacts for Holding Company Filings:
| Bureau | Name of Representative | E-mail address | Phone Number |
|---|---|---|---|
| Property | James Davis | (212) 480-5124 | |
| Health | Charles Lovejoy | (212) 480-5045 | |
| Life | Eugene Murphy | (212) 480-5041 |
Determination of Non-Control of a Domestic Insurer – Request a determination that a person or company does not control an insurer Section 1501(c) of the Insurance Law.
- Section 1501(c) of the Insurance Law
- Regulation 52 – Section 80-1.3
- Special
Commitment Template (Word format)
Notes relating to the use of the Special Commitment Template:
- In every instance of "[NAME OF DOMESTIC COMPANY] or [NAME OF HOLDING COMPANY]," the word "or" and all relevant companies' names must be included so that the commitment applies to both the holding company and all domestic insurers that are the subject of the application.
- Some of the provisions of the
Special Commitment may be modified to reflect the particular business activities
of individual applicants, but any such modifications first must be reviewed and
approved by the Bureau that is handling the application as well as OGC.
Acquisition of Control of Domestic Insurer (Form A Filing) – Request to acquire a domestic insurer.
Transactions - Submissions related to transactions between domestic insurers and affiliates.
Registration of Controlled Insurers – required within thirty days of any change of control in the identity of its holding company.
Reporting for Controlled Insurer – Every controlled insurer shall file with the superintendent such reports for the purpose of disclosing information concerning the operations of persons within the holding company system which may materially affect the operations, management or financial condition of the insurer.
Updated 10/05/2012
