Vermont Annual Statement Filing Instructions For Domestic Risk Retention Groups and Association Captives Filing The NAIC Statement

If you are a risk retention group not domiciled in Vermont, please go to Foreign Risk Retention Group Filing Instructions.

 

* Risk Retention Groups are also required to file with the NAIC per 8 VSA, Chapter 141, Section 6007.

* Note: Only electronic submissions will be accepted. Due Date
DELIVERY INSTRUCTIONS  
Electronic Submissions only.
Electronic Address: DFR.CaptiveFinancialFilings@vermont.gov
   
   
NAIC FINANCIAL STATEMENTS  
Annual Statement (8 ½ " x 14") *Note: Copy of tax return to be included with the annual report filing to the Department. on or before 3/1
Quarterly Statement (8 ½ " x 14") Not applicable to Association Captives 45 days after the end of the quarter:5/15, 8/15, 11/15
   
NAIC SUPPLEMENTS  
Supplemental Compensation Exhibit on or before 3/1
Risk-Based Capital Report on or before 3/1
Reinsurance Summary Supplemental on or before 3/1
Reinsurance Attestation Supplement on or before 3/1
Stockholder Information Supplement on or before 3/1
Supplement A (Medical Malpractice Supplement) 45 days after the end of the quarter: 5/15, 8/15, 11/15
Insurance Expense Exhibit 4/1
Management Discussion & Analysis 4/1
Investment Risk Interrogatories 4/1
Cybersecurity and Identity Theft Insurance Coverage Supplement 4/1
   
AUDITED FINANCIAL STATEMENTS  
Audited Financial Statements On or before 6/30
Report of Evaluation of Internal Controls On or before 6/30
Accountant's Letter of Qualifications On or before 6/30
Certification of Review of Audit Workpapers On or before 6/30
   
CERTIFICATION OF LOSS RESERVES AND LOSS EXPENSE RESERVES  
Statement of Actuarial Opinion On or before 3/1
Actuarial Opinion Summary- filed with VT DFR only On or before 3/15
   
OTHER REQUIRED FILINGS  

Premium Tax Returns to be filed with Vermont Department of Taxes

*Note: Copy of tax return to be included with the annual report filing to the Department.

last day of February
License renewal fees of $500 payable to Department of Financial Regulation 4/1