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|
|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.||prior to 3/1|
|Quarterly Statement (8 ½ " x 14") Not applicable to Association Captives||5/15, 8/15, 11/15|
|Supplemental Compensation Exhibit||prior to 3/1|
|Risk-Based Capital Report||prior to 3/1|
|Reinsurance Summary Supplemental Filing||prior to 3/1|
|Reinsurance Attestation Supplement||prior to 3/1|
|Stockholder Information Supplement||prior to 3/1|
|Supplement A (Medical Malpractice Supplement)||prior to 3/1|
|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 6/30|
|Actuarial Opinion Summary- filed with VT DRF only||On or before 6/30|
|OTHER REQUIRED FILINGS|
*Note: Copy of tax return to be included with the annual report filing to the Department.
|License renewal fees of $500 payable to Department of Financial Regulation||4/1|