Risk-Focused Surveillance (E) Working Group
Financial Condition (E) Committee

2012 Charges

• Continually review the effectiveness of risk-focused surveillance and develop enhancements to the implementation process as necessary.

• Oversee and monitor the Supervisory Best Practices Program where regulators review and provide feedback on completed risk-focused examinations in a peer-review format.

• Review the risk-focused examination process to determine the best way to increase the review of prospective risks and reduce unnecessary financial statement verification during an examination.

• Monitor the work of the Solvency Modernization Initiative (E) Task Force to determine which elements could impact risk-focused surveillance.

Survey Questions: Industry Feedback on Risk-Focused Examinations

As part of a continued effort to improve financial examinations, the Risk-Focused Surveillance (E) Working Group is requesting feedback from interested parties regarding the implementation of risk-focused examinations. We encourage interested parties to provide constructive comments that can be used to make positive changes to improve the overall effectiveness and efficiency of risk-focused exams.

Please follow the link below to complete the survey questions.

• Industry Feedback Survey Questions

A word document containing all questions is attached here to allow you to view the questions prior to opening the survey. The survey must be completed in one session and will not allow you to close out and finish on another day.

• Survey Questions - Word Version

The deadline to submit a survey is January 13, 2012.