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Holding Company and Parent Corporation Filings

The Department’s Holding Company and Parent Corporation Filings portal application is available for use for all submissions made pursuant to Insurance Law Article 15, 16, or 17 or regulations promulgated thereunder.

Registration statements and amendments thereto filed pursuant to 11 NYCRR § 80-1.2 (Insurance Regulation 52), and enterprise risk reports filed pursuant to 11 NYCRR § 82.2 (Insurance Regulation 203) must be submitted through the portal.

The portal may be used for other submissions required by Insurance Law Articles 15, 16, and 17 or regulations promulgated thereunder.

Access the Portal

You must have an account to make submissions via the portal.

Additional Requirements and Restrictions

Hard Copies

Certain documents with original signatures must be submitted in hard copy.  After receipt of the electronic submission, an examiner will contact the submitting company with a list of documents that must be submitted in hard copy with original signatures.

All executed surplus notes must be submitted to the Department in hard copy with original signatures.

The Department reserves the right to request hard copies of any electronic submissions.

Managed Care Organizations

Managed care organizations that utilize the portal application to submit filings to the Department still must make all required filings with the New York State Department of Health.

Determination of Non-Control – Special Commitment

Special Commitment Template (Word)

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. Also, 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 and the Department’s Office of General Counsel.

Principal Contacts for Holding Company and Parent Corporation Filings (Other Than Enterprise Risk Reports):

Bureau/Division Name of Representative E-mail address

Property

James Davis

james.davis@dfs.ny.gov

Health

Christine Gralton

christine.gralton@dfs.ny.gov

Life

George Brady

george.brady@dfs.ny.gov

Capital Markets

Margot Small

margot.small@dfs.ny.gov

Updated 04/23/2014

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