UPDATED: Submission of Biographical Affidavits and Independent Third-Party Verification for Officers and Directors of Authorized Insurers

Effective December 1, 2023, the Department hereby withdraws Insurance Circular Letter No. 6 (2001) 

Domestic and foreign Property/Casualty, Life, and Captive insurance companies and Accredited and Alien Accredited Reinsurers will no longer be required to submit fingerprints for officers, directors, and any controlling persons to the Department as part of their domestic primary applications, redomestication applications, corporate amendment applications, or when there are new directors and officers. Officers, directors, and any controlling persons acquiring control of a domestic insurance company also will no longer be required to submit fingerprints. Fingerprints are also no longer needed for non-domestic licensure (expansion). 

Background checks required for any of the above must now include the following: 

  1. NAIC Biographical Affidavit
    1. The NAIC biographical affidavit (Form 11) must be completed for each officer and director and any controlling persons. The affiant must sign the affidavit within the six-month period before the application date.
  2. Independent Third-Party Verification
    1. Biographical affidavits must be verified by an independent third-party that has been approved by the NAIC. See list of NAIC Independent Third-Party Vendors.
    2. Third-party verification reports must be sent directly from the approved vendor to the Department via the DFS Portal.  

As a reminder, all insurance companies must use the NAIC Uniform Certificate of Authority Applications (UCAA) to submit their licensing applications. 

Any questions in connection with licensing applications should be directed to the appropriate Bureau below: 

Property/Casualty:  [email protected]

Health: [email protected]

Life: [email protected]