| The Capital Markets Bureau is located in the NAIC’s New York City office. Its mission is to support state insurance departments and other NAIC staff on matters affecting the regulation of investment activities at state regulated insurance companies.
The Capital Markets Bureau monitors developments and trends in the financial markets generally, and specifically with respect to the insurance industry.
- Issues that are of interest to state insurance regulators are reported periodically through regularly scheduled publications and through ad hoc reports.
- The group does independent research on investment issues and responds to requests from state insurance regulators.
- The group assists in examinations, through analysis of investment portfolios, discussions with examiners and, as requested, participates in on-site examinations.
The group provides other training, education and analysis support. It participates in discussions with other financial regulators and assists NAIC staff in those efforts.
The Capital Markets Bureau supports Financial Regulatory Services and Insurance Analysis & Information Services, to identify potentially troubled insurers and market trends that may have a material impact on the investment profile of the insurance industry. The group works collaboratively with Government Relations staff developing comment letters, briefings and related materials; serving as a technical resource to Congressional/federal/state officials regarding NAIC policy positions on financial regulation and capital markets.
The Capital Markets Bureau takes an active role with respect to issues concerning the Valuation of Securities Task Force and the Invested Assets Working Group. In addition, the group supports the Statutory Accounting Principles Working Group, the Emerging Accounting Issues Working Group, and the Capital Adequacy Task Force, along with its working groups, as well as the work of other NAIC committees and subgroups impacted by investment issues.
The Capital Markets Daily Newsletter & Special Reports:
Capital Markets Special Reports available to regulators and the public, these reports focus on detailed and specific analysis of issues that have the potential of impacting insurance company investment portfolios.
The Capital Markets Daily Newsletter is a REGULATOR ONLY email distributed at the conclusion of each day. It provides brief summaries of financial market performance and the developments that impacted it. It is occasionally supplemented with additional summaries that aggregate significant items affecting insurers and regulators. Regulators receiving this newsletter will also receive the Capital Markets Special Reports.
Investment Analysis: As requested by state insurance regulators, the Capital Markets Bureau provides a number of services – (1) Investment Analysis Reports; (2) Detailed Asset Reviews; (3) Derivatives Use Plan Reviews; (4) On-Site Examination Support; and (5) On-Site Investment Seminars and Training. Any state insurance department that is interested in such support should contact the Capital Markets Bureau by sending an email to Edward Toy at etoy@naic.org.
CLICK HERE for a more complete description of the services.
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NOW AVAILABLE: Capital Markets Special Reports archive & subscription...
THE FOLLOWING SERVICES ARE FOR REGULATORS ONLY:
Capital Markets Daily Regulator Newsletter (includes subscription to Special Reports)
Request for an Investment Analysis Report
Capital Markets Bureau
48 Wall Street
6th Floor
New York, NY 10005
Phone: 212.398.9000
Fax: 212.382.4204 |
