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Financial Examination Tools

Examination Sound Practices

Sound Practices in various areas have been developed for Financial Examiners to utilize on their examinations and help facilitate the examination process.

Many of these practices originate from work performed directly by Examiners. Through the NAIC Peer Review process, examination files are submitted and are reviewed by the Examination team at the NAIC and Examiners from participating states. As part of this process, Sound Practices are often identified and shared to continue to enhance the quality and efficiency of examination work performed by states. Some of these practices may assist Examiners in applying guidance prescribed in the Financial Condition Examiners Handbook (Handbook).

Note that although these Sound Practices are intended to be consistent with Handbook guidance, none of the practices should be viewed as authoritative guidance. The Handbook should be consulted for further clarification as necessary.

Below are links to various documents and examples that Financial Examiners may find beneficial.

This page will be updated periodically as additional sound practices are identified. Please check back regularly for updates.

If you would like to recommend additional sound practices for consideration, please provide suggestions to Miguel Romero.

NOTE: The Financial Examination unit is in the process of updating the resources available on this page. Look forward to refreshed tools and sound practices during the second half of 2019. 

General Sound Practices

Addressing Risks

Working with Third-Parties

Communications with Analysts, Department Personnel and Other States