INSURANCE REGULATORY REPORTING CHECKLIST

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--- DATA GATHERING & VALIDATION ---
[ ] Policy Count (Active)
[ ] Claims Reported
[ ] Cut-off Date for Data
[ ] Data Source (Core System, Excel Spreadsheet, Third-Party Vendor)
[ ] Data Fields Verified (Policy Number, Insured Name, Premium Amount, Claim Status)
[ ] Data Validation Notes

--- REPORTING FORM SELECTION & COMPLETION ---
[ ] Reporting Form Type (Quarterly Statistical Report, Annual Financial Report, Event-Driven Report, Other (Specify))
[ ] Reporting Period (Q1, Q2, Q3, Q4)
[ ] Policy Count - Life
[ ] Policy Count - Auto
[ ] Claim Ratio
[ ] Report Submission Date
[ ] Notes/Comments

--- CALCULATIONS & RECONCILIATION ---
[ ] Gross Written Premium
[ ] Losses Paid
[ ] Expense Ratio
[ ] Combined Ratio
[ ] Reserve Adequacy Ratio
[ ] Reconciliation Method (Manual, Automated, Hybrid)
[ ] Reconciliation Date

--- SYSTEM & TECHNOLOGY CHECKS ---
[ ] System Uptime Percentage (Last 24 Hours)
[ ] Data Encryption Status (At Rest) (Enabled, Disabled, N/A)
[ ] Access Control Verification Performed? (Yes, No, N/A)
[ ] Last System Security Patch Applied
[ ] Number of Failed Data Transfers
[ ] Description of any system errors encountered during reporting

--- LEGAL & COMPLIANCE REVIEW ---
[ ] Applicable Regulatory Framework(s) (NAIC Model Laws, State-Specific Regulations, Federal Regulations (e.g., GLBA), International Regulations (e.g., GDPR))
[ ] Summary of Key Compliance Risks
[ ] Date of Last Legal Review
[ ] Confirmation of Legal Counsel Review (Reviewed and Approved, Reviewed, Minor Changes Required, Not Yet Reviewed)
[ ] Record of Legal Counsel Comments/Recommendations
[ ] Supporting Legal Documentation (e.g., Opinion Letters)

--- SUBMISSION & ARCHIVING ---
[ ] Submission Date
[ ] Submission Time
[ ] Submission Method (Online Portal, Email, Mail)
[ ] Confirmation Number (if applicable)
[ ] Confirmation Receipt (if applicable)
[ ] Notes/Comments Regarding Submission

--- DOCUMENTATION & AUDIT TRAIL ---
[ ] Date of Report Preparation
[ ] Description of Data Sources Used
[ ] Preparer Signature
[ ] Report Version Number
[ ] Summary of Key Assumptions Made
[ ] Supporting Documentation (e.g., calculations)
[ ] Name of Preparer

--- VERSION CONTROL & UPDATES ---
[ ] Last Updated Date
[ ] Version Number
[ ] Summary of Changes
[ ] Reason for Update (Regulatory Change, Process Improvement, System Upgrade, Data Correction)
[ ] Previous Version Number
[ ] Supporting Documentation (e.g., Regulation PDF)

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