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DOMESTIC PROPERTY & CASUAL TY INSURERS (LICENSED IN HAWAII) HAWAII Memorandum 2003-7E December10,2003 COMPANY NAME: ____________________ NAIC Company Code:---------- Contact: Telephone:------------- REQUIRED FILINGS IN THE STATE OF: HAWAII Filings Made During the Year 2004 (1) (2) (3) (4) (5) (6) (7) Check- Line NUMBER OF FORM APPLICABLE list # REQUIRED FILINGS FOR THE ABOVE STATE COPIES DUE DATE(S) SOURCE* NOTES Domestic State NAIC (A·L apply to all filings) I. NAIC FINANCIAL STATEMENTS 1 Annual Statement (8 %" x 14") 2 1 3/1 NAIC 1.1 Printed Investment Schedule detail 2 1 3/1 NAIC (Pages E01-E26) 2 Quarterly Financial Statement (8 %" x 14") 2 1 5/15, 8./15, NAIC 11/15 3 Protected Cell Annual Statement 2 0 3/1 NAIC If applicable 4 Combined Annual Statement (8 %" x 14") 2 1 5/1 NAIC If applicable II. NAIC SUPPLEMENTS 10 Accident & Health Policy Experience Exhibit 2 1 4/1 NAIC 11 Combined Insurance Expense Exhibit 2 1 5/1 NAIC 12 Credit Insurance Experience Exhibit 2 1 4/1 NAIC 13 Investment Risk Interrogatories 2 1 4/1 NAIC 14 Financial Guaranty Insurance Exhibit 2 1 3/1 NAIC 15 Insurance Expense Exhibit 2 1 4/1 NAIC 16 Long Term Care Experience Reporting Forms 2 1 4/1 NAIC 17 Management Discussion & Analysis 2 1 4/1 Company 18 Medicare Supplement Insurance Experience 2 1 3/1 NAIC Exhibit 19 Premiums Attributed to Protected Cells Exhibit 2 1 3/1 NAIC If applicable Note N 20 Risk-Based Capital Report 2 1 3/1 NAIC 21 Schedule SIS 2 N/A 3/1 NAIC 22 Statement of Actuarial Opinion 2 1 3/1 Company 23 Supplement A to Schedule T 2 1 3/1, 5/15, NAIC 8/15, 11/15 24 Supplemental Compensation Exhibit N/A N/A N/A NAIC 25 SVO Compliance Certification 2 1 3/1, 5/15, NAIC 8/15, 11/15 26 Trusteed Surplus Statement 2 1 3/1, 5/15, NAIC 8/15, 11/15 Ill. ELECTRONIC FILING REQUIREMENTS 30 Annual Statement Electronic Filing N/A 1 3/1 NAIC 31 March .PDF Filing N/A 1 3/1 NAIC 32 ·Risk-Based Capital Electronic Filing N/A 1 3/1 NAIC 33 Combined Annual Statement Electronic Filing N/A 1 5/1 NAIC (If applicable) PLEASE 34 Combined Annual Statement .PDF Filing N/A 1 5/1 NAIC (If applicable) REFER TO 35 Suoolemental Electronic Filing N/A 1 4/1 NAIC 36 Supplemental .PDF Filing N/A 1 4/1 NAIC NOTEO 37 Quarterly Electronic Filing N/A 1 5/15, 8/15, NAIC 11/15 38 Quarterly .PDF Filing N/A 1 5/15, 8/15, NAIC 11/15 39 June .PDF Filing N/A 1 6/1 NAIC 1 DOMESTIC PROPERTY & CASUALTY INSURERS (LICENSED IN HAWAII) HAWAII Memorandum 2003-7E December 10, 2003 COMPANY NAME: ____________________ NAIC Company Code:---------- Contact: Telephone:-------------- REQUIRED FILINGS IN THE STATE OF: HAWAII Filings Made During the Year 2004 (1) (2) (3) (4) (5) (6) (7) Check- Line NUMBER OF FORM APPLICABLE list # REQUIRED FILINGS FOR THE ABOVE STATE COPIES DUE DATE(S) SOURCE* NOTES Domestic State NAIC (A·L apply to all filings) IV. AUDITED FINANCIAL STATEMENTS 51 Accountants Letter of Qualifications 2 N/A 6/1 Comoanv 52 Audited Financial Statements 2 1 6/1 Comoanv 54 Independent CPA-Annual Notification of 1 N/A Prior to the Company Accountant/Accounting Firm [Notification to commencethe Commissioner in writing the name and ment of the address of the person or firm retained to audit. See HRS conduct the annual audit.] &431 :3-302.5 55 Notification of Adverse Financial Condition 1 N/A If aoplicable Companv 56 Report of Significant Deficiencies in Internal 1 N/A If applicable Company Controls 58 Request to File Consolidated Audited Annual 1 N/A Prior to the Company Statements commencement of the audit V. STATE REQUIRED FILINGS 103 Filings Checklist (with Column 1 comoleted) 1 1 3/1 State 104 Annual Premium Tax Statement (& payment if 1 0 3/1 State Note R applicable) - Form 314 105 State Filina Fees xxx xxx xxx State Note C 106 Affidavit of Filing 0 0 N/A State 107 Compliance Resolution Fund Assessment 1 0 Due 60 State NOTE A FOR (formerly known as Insurance Regulation days after CONTACT PERSON Fund Assessment) - Assessment Notice will demand & PHONE NUMBER be sent to insurers 108 Drivers' Education Fund Underwriters Fee 1 0 2/15 Company NOTE A FOR [Refer to Insurance Commissioner's CONTACT PERSON Memorandum 2002-9R available on line at & PHONE NUMBER www.hawaii.gov/dcca/ins.] (To be filed by all insurers authorized to write motor vehicle or motorcycle insurance in Hawaii) 109 Hawaii Investments (Form 322) 1 0 3/1 State 110 Holding Company Registration Statement 2 0 3/15 Company (Form B) and Summary of Its Registration Statement (Form C) 111 Insurer's Agreement to Participate in Hawaii 1 0 8/16 State NOTE A FOR Joint Underwriting Plan - Membership Fee CONTACT PERSON (with company seal affixed) - (To be filed by & PHONE NUMBER all insurers authorized to write motor vehicle insurance in Hawaii) 112 Motor Vehicle Insurer Reports - Annual Report 1 0 4/1 Company NOTE A FOR (To be filed by all insurers authorized to write CONTACT PERSON motor vehicle insurance in Hawaii) & PHONE NUMBER 113 Motor Vehicle Insurer Reports - Quarterly 1 0 2/15, 5/15, Company NOTE A FOR Reports [Due 45 days following the end of the 8/15, 11/15 CONTACT PERSON quarter] - (To be filed by all insurers & PHONE NUMBER authorized to write motor vehicle insurance in Hawaii) 2 DOMESTIC PROPERTY & CASUALTY INSURERS (LICENSED IN HAWAII) HAWAII Memorandum 2003-7E December10,2003 COMPANY NAME=--------------------:NAIC Company Code:---------- Contact: Telephone:------------- REQUIRED FILINGS IN THE STATE OF: HAWAII Filings Made During the Year 2004 (1) (2) (3) (4) (5) (6) (7) Check· Line NUMBER OF FORM APPLICABLE list # REQUIRED FILINGS FOR THE ABOVE STATE COPIES DUE DATE(S) SOURCE* NOTES Domestic State NAIC (A·L apply to all filings) V. STATE REQUIRED FILINGS (continued) 114 Quarterly Premium Tax Statement (& payment 1 0 4/30, 7/31, State Notes if applicable) - Form 323 10/31, Rands 1/31/2005 115 Renewal of Certificate of Authority 1 0 8/16 State Note A for (NOTE: This is due 8/16---RECEIVED date, not CONTACT PERSON postmark date) and Note P 116 Statement of Premiums Derived from Workers' 1 0 3/15 State Note R Compensation Insurance Issued During the Year for Workers' Compensation Special Compensation Fund (To be filed by all insurers authorized to write workers' compensation insurance in Hawaii) [See enclosed Memorandum 2003-SE and Form 315] *If Form Source is NAIC, the form should be obtained from the appropriate vendor. DOCUMENTS SUBMITTED TO THE HAWAII INSURANCE DIVISION WHICH ARE NOT REQUIRED TO BE FILED (NOT ON OUR usn WILL BE DESTROYED WITHOUT REVIEW. NOTES AND INSTRUCTIONS (A-L APPLY TO ALL FILINGS) [DOMESTIC P & C INSURERS] A Required Filings Contact Person: Annual Statement, Premium Tax and all other filings except those listed below: Susan Hansen: (808) 586-7381 Fax: (808) 586-3873 E-mail: shansen@dcca.hawaii.gov Compliance Resolution Fund Assessment (Line #107) Gordon Nishiki: (808) 586-0985 E-mail: gnishiki@dcca.hawaii.gov Drivers' Education Fund Underwriters Fee (Line #108) Motor Vehicle Insurer Reports - Annual and Quarterly (Lines #112 and #113) Rate & Policy Branch: (808) 586-2809 E-mail: insrpa@dcca.hawaii.gov Insurer's Agreement to Participate in Hawaii Joint Underwriting Plan (Line #111) Renewal of Certificate of Authority (Line #115) Licensing Branch: (808) 586-2788 E-mail: inslic®dcca.hawaii.aov 3 NOTES AND INSTRUCTIONS (A-L APPLY TO ALL FILINGS) [DOMESTIC P & C INSURERS] B Mailing Address: P. 0. Box 3614 Honolulu, HI 96811-3614 ATTN: SUSAN HANSEN OR 335 Merchant Street, 2nd Floor NEW STREET ADDRESS ~ Honolulu, HI 96813 (Effective November 13, 2003) ATTN: SUSAN HANSEN Note: The Annual Statement may be mailed with the Annual Tax Return or separately. c Mailing Address for Filing Fees: No filing fees or license fees of any kind are required to be paid at this time. (See Note P). D Mailing Address for Premium Tax Payments: Same as Note B - The Tax Return may be mailed with the Annual Statement or separately. Contact Person: Susan Hansen (808) 586-7381 E-mail: shansen@dcca.hawaii.oov E Delivery Instructions: All filings must be POSTMARKED no later than the indicated due date. If the due date falls on a weekend or holiday, then the deadline is extended to the next business day. (The exception is the Certificate of Authority Renewal - Line #115. This document is physically due in our office by 8/16.) F Late Filings: Late filings are subject to a fine in an amount not less than $100 and not more than $500 for each day of delinquency. Any insurer failing or refusing to pay the required taxes shall be liable for a fine of $500 or 10% of the tax due, whichever is greater; plus interest at a rate of 12% per annum on the delinquent taxes. The Commissioner may suspend or revoke the Certificate of Authority of any insurer that fails to file any of the documents required herein. G Original Signatures: The Annual and Quarterly Statement Jurat pages shall include signatures of at least two of the insurer's principal officers. Original signatures must be manually signed by the appropriate corporate officers and be properly notarized. H Signature/Notarization/Certification: Annual Premium Tax Statement (#104) and Workers' Compensation Special Compensation Fund (#116) require at least one original signature by an officer, director, or other authorized person and must be properly notarized (including notary seal). I Amended Filings: Amended items must be accompanied by an explanation of the amendments. If there are signature requirements for the original filing, the same should be followed for any amendment. J Exceptions from normal filings: K Bar Codes (State or NAIC): N/A for all Hawaii filings. L Affidavit of Filing and Financial Statement N/A for Hawaii Domestic Insurers. Attestation: 4 NOTES AND INSTRUCTIONS CA-L APPLY TO ALL FILINGS) [DOMESTIC P & C INSURERSl M NONE Filings: See NAIC Annual Statement Instructions. N Filings new, discontinued or modified None of the filings have been discontinued since last materially since last year: year. Modified Filings: Premiums Attributed to Protected Cells Exhibit - If applicable (Line #19) --- Due date changed to March 1. 0 Electronic Filing: Electronic filing with the NAIC includes filing via the Internet or filing via diskette. Companies that file with the NAIC via the Internet are not required to submit diskettes to the NAIC. Please review General Instructions for Companies to Use Checklist. p Certificate of Authority: No action is required at this time to extend your Certificate of Authority. The necessary forms and instructions will be forwarded to you well in advance of the August 16 extension date. QUESTIONS - CONTACT THE LICENSING BRANCH@ (808) 586-2788. E-mail: inslic«Vdcca.hawaii.aov Q Certificate of Compliance N/A for Hawaii Domestic Insurers. Certificate of Deposit R Checks/payments: Checks should be made payable to "DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS, STATE OF HAWAII" unless otherwise noted on the form. A service charge of $15 will be assessed for each dishonored check. Your cancelled check is your receipt; an official receipt will be issued only upon written request. s Quarterly Premium Tax Statements: Please refer to the enclosed Memorandum regarding Premium Tax Information. ALL authorized insurers are required to file four Quarterly Premium Tax Statements (and payments, if applicable) regardless of tax liability. The filing deadlines for the ! quarterly statements and tax payments are on or before the last day of the calendar month following the quarter. T Websites: Please visit the following websites for additional information: www.naic.org/financial_statement_filing/state_instructions.htm www.hawaii.gov/dcca/ins 5 Please Note: Column (1) e STATE OF HAWAII - Domestic Property & Casualty Insurers • General Instructions For Companies to Use Checklist This state's instructions for companies to file with the NAIC are included in this Checklist. The NAIC will send mailing labels and other information to all companies but will not be sending their own checklist this year. Electronic filing with the NAIC is intended to include filing via the Internet or filing via diskette. Companies that file with the NAIC via the Internet are not required to submit diskettes to the NAIC. (Checklist) Companies should copy the checklist and place an "X' in this column when mailing information to the state. Column (2) (Line#) Line# refers to a standard filing number used for easy reference. This line number may change from year to year. Column (3) (Required Filings) Name of item or form to be filed. The Annual Statement Electronic Filing includes the annual statement data and all supplements due March 1, per the Annual Statement Instructions. This includes all detail investment schedules and other supplements for which the Annual Statement Instructions exempt printed detail. The March .PDF Filing is the .pdf file for annual statement data, detail for investment schedules, and supplements due March 1. The Risk-Based Capital Electronic Filing includes all risk-based capital data. ' The Supplemental Electronic Filing includes all supplements due April 1, per the Annual Statement Instructions. The Supplemental .PDF Filing is the .pdf file for all supplemental schedules and exhibits due April 1. The Quarterly Statement Electronic Filing includes the complete quarterly statement data. The Quarterly Statement .PDF Filing is the .pdf file for quarterly statement data. The Combined Annual Statement Electronic Filing includes the required pages of the combined annual statement and the combined Insurance Expense Exhibit. The Combined Annual Statement .PDF Filing is the .pdf file for the combined annual statement data and the combined Insurance Expense Exhibit. The June .PDF Filing is the .pdf file for the Audited Financial Statements. Column (4) (Number of Copies) Indicates the number of copies that each domestic company is required to file for each type of form. Column (5) (Due Date) Indicates the date on which the company must file the form. Column (6) (F~rm Source) This column contains one of three words: "NAIC," "State," or "Company." If this column contains "NAIC," the company must obtain the forms from the appropriate vendor. If this column contains "State," the state will provide the forms either with the filing instructions OR will be mailed to the insurer at a later date. If this column contains "Company," the company, or its representative (e.g., its CPA firm), is expected to provide the form based upon the appropriate state instructions or the NAIC Annual Statement Instructions. Column (7) (Applicable Notes) This column contains references to the Notes to the Instructions that apply to each item listed on the checklist. The company should carefully read these notes before submitting a filing. Also, phone inquiries should be directed to the proper contact person (See NOTE A). 6