Market Conduct Examination Standards (D) Working Group
Conference Call
December 6th, 12:30 p.m. Central Time

  • An agenda and materials will be posted when available

Draft New Annuity Standardized Data Requests, Oct. 24 Draft

Comments Due Date on all Annuity SDRs Nov. 27, 2017

Draft Revisions to Chapter 19-Conducting the Life and Annuity Examination 10-27-17 (Regarding Actuarial Guideline XLIX-The Application of the Life Illustrations Model Regulation to Policies with Index-Based Interest (AG 49))
Note: The 10-27-17 draft contains revisions proposed by ACLI and CEJ.

This item was adopted by the Working Group on October 31, 2017, and additional revisions discussed at the 10/31/17 call were included in that adoption.

Draft Revisions to Chapter 19-Conducting the Life and Annuity Examination 07-18-17 (Regarding Actuarial Guideline XLIX-The Application of the Life Illustrations Model Regulation to Policies with Index-Based Interest (AG 49))

Revised Chapter 2-Continuum of Regulatory Responses 07-13-17
This item was adopted by the Working Group on September 12, 2017, and additional revisions discussed at the 9/12/17 call were included in that adoption.

Potential Inclusion of Content from Recently Adopted Models in the Market Regulation Handbook  

Regulatory Guidance for Closing Continuum Actions 8-31-17 (for inclusion in the reference documents of the Market Regulation Handbook)
This item was adopted by the Working Group on September 12, 2017, and additional revisions discussed at the 9/12/17 call were included in that adoption.

Proposed new content for Market Regulation Handbook re: Closing Continuum Actions 07-13-17

Proposed new content for Market Regulation Handbook re: Closing Continuum Actions 03-01-17

Proposed new content for Market Regulation Handbook re: Closing Continuum Actions 11-28-16

Proposed Market Regulation Handbook Substantive Revisions Received from the Market Information Systems Research and Development (D) Working Group 7-12-16 The Working Group voted at its March 23 conference call to discontinue its review of this exposure draft.
Comments Due Date: March 16, 2017

The following items have been tabled by the Working Group until further notice.

Draft New Health Reform Market Conduct Examination Standards for Nondiscrimination for inclusion in theMarket Regulation Handbook
Aug. 10, 2015 Draft

Draft New Health Reform Market Conduct Examination Standards for Nondiscrimination for inclusion in theMarket Regulation Handbook
Aug. 3, 2015 Draft

Section D. Standards of Chapter 14-Sampling of the Market Regulation Handbook 9/18/14

Proposed Compliance Risk Assessment Methodology Outline 04/26/17
Comments Due Date: November 27, 2017

Process Review Methodology Proposal Revised 03/29/17
Comments Due Date: November 27, 2017

Process Review Methodology Proposal 10/12/16

Market Conduct Examination Standards (D) Working Group
Conference Call
October 31, 1:30 p.m. Central Time


Conference Call
September 12, 2017
12:30 p.m. Central Time

Conference Call
July 20, 2017
12:30 p.m. Central Time

Conference Call
June 14, 2017
1:00 p.m. Central Time

Conference Call
April 27, 2017
1:00 p.m. Central / 2:00 p.m. Eastern

Conference Call
March 23, 2017
11:30 a.m. Central / 12:30 p.m. Eastern

Conference Call
March 3, 2017
12:30 p.m. Eastern / 11:30 a.m. Central

Market Conduct Examination Standards (D) Working Group
Conference Call
November 30, 2016
2:00 p.m. CT/3:00 p.m. ET

Market Conduct Examination Standards (D) Working Group
Conference Call
November 2, 2016
3:30-4:30 p.m. ET/2:30-3:30 p.m CT

Market Conduct Examination Standards (D) Working Group
Conference Call
September 14, 2016
1:30 p.m.-3:00 p.m. ET/12:30 p.m.-2:00 p.m. CT

Market Conduct Examination Standards (D) Working Group
Conference Call
July 7, 2016
2:30 p.m. ET/1:30 p.m. CT

Market Conduct Examination Standards (D) Working Group
Conference Call
June 9, 2016
2:00 p.m. ET/1:00 p.m. CT

Conference Call
May 4, 2016
2:00 p.m. ET/1:00 p.m. CT

Market Conduct Examination Standards (D) Working Group
Conference Call
March 15, 2016
2:30 p.m. ET/1:30 p.m. CT

Market Conduct Examination Standards (D) Working Group
Wednesday, February 10, 2016
4:00 p.m. ET/3:00 p.m. CT/2:00 p.m. MT/1:00 a.m. PT

List of Current NAIC Standardized Data Requests
August 11, 2015

Market Regulation Health Reform Provisions 1-01-2014

Market Regulation Health Reform Provisions 9-23-12

Related NAIC Publications

Contacts

Market Conduct Examination Standards (D) Working Group

 

The 2017 Market Conduct Examination Standards Working Group will accomplish its assigned tasks via regularly scheduled conference calls. Notice of upcoming conference calls will be posted on this Web page, on the NAIC Conference Call Calendar, StateNet and MyNAIC.

2017 Charge

The following document provides a summary of the changes between the 2016 and the 2017 Editions of the Revised Market Regulation Handbook What's New?

To get an idea of what's inside the 2017 Market Regulation Handbook, click on the following link:

2017 Market Regulation Handbook Table of Contents

How to Order a Copy of the 2017 Market Regulation Handbook (Non-Regulator only)

Market Regulation Handbook Updates and Reference Documents*
User ID and Password Required (found on the first page of the 2017 edition of the Market Regulation Handbook)

Regulators may access the Market Regulation Handbook and Market Regulation Handbook Updates and Reference Documents via StateNet at: 
https://isiteplus.naic.org/statenet/market_regulation_handbook.htm
.

*Reference Documents include: