SATURDAY, 8/04/2018
10:00 AM - 11:00 AM 
(Regulator Only)

This is a regulator only session because the discussion or action contemplated will include: Specific companies, entities or individuals, including, but not limited to, collaborative financial and market conduct examinations and analysis.

Meeting Room 309 - Hynes CC - 3rd Level

 

There are no exposure drafts at this time.

Examinations in Process

  • ISS led by IL
  • ISO led by NJ

Certification Template (designed by NAIC legal)

Related NAIC Publications

Contacts

Advisory Organization Examination Oversight (C) Working Group

 

2018 Charges:

The Advisory Organization Examination Oversight (C) Working Group will:

  1. Revise the protocols, as necessary, for the examination of national or multi-state advisory organizations (includes rating organizations and statistical agents) to be more comprehensive, efficient and possibly less frequent than the current system of single-state exams. Solicit input and collaboration from other interested and affected committees and task forces.
  2. Monitor the data reporting and data-collection processes of advisory organizations (including rating organizations and statistical agents) to determine if they are implementing appropriate measures to ensure data quality. Report the results of this ongoing charge as needed.
  3. Actively assist with and coordinate multi-state examinations of advisory organizations (including rating organizations and statistical agents).