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CA Department of Insurance

Holding Company Act

Notice To: All Insurers Admitted to Transact Insurance in California

Subject: Holding Company Act Reporting Requirements for Legal Division Filings

The CDI's new Online Assistance System for Insurer Submittals (OASIS) allows for the electronic filing of Holding Company Act applications.   Now applications may be submitted online through our Website, and payment may be made with a credit card.

The following Holding Company Act filings may be submitted online through the OASIS System:

  1. Holding Company - 1215.2(f) HC Form A Filing Exemption
  2. Holding Company - 1215.2(d) HC Acquisition  (Form A)
  3. Holding Company - 1215.4(a) HC Non-domestic Domicile Exemption  (Form A)
  4. Holding Company - 1215.4(l) HC Disclaimer of Affiliation
  5. Holding Company - 1215.5(b)(1) HC Sales, Purchase, Exchanges (Form D)
  6. Holding Company - 1215.5(b)(2) HC Non-affiliated Loans, Exchanges (Form D)
  7. Holding Company - 1215.5(b)(3) HC Reinsurance (Form D) *
  8. Holding Company - 1215.5(b)(4) HC Management Agreements (Form D)
  9. Holding Company - 1215.5(b)(5) HC Guarantees (Form D)
  10. Holding Company - 1215.5(b)(6) HC Derivative Transactions (Form D)
  11. Holding Company - 1215.5(b)(8) HC Material Transactions (Form D)
  12. Holding Company - 1215.5(b)(7) HC Investments
  13. Holding Company - 1215.5(e) HC Investment Exceeding 10%
  14. Holding Company - 1215.5(g) HC Extraordinary Dividends
  15. Holding Company - 1215.13(b) HC Commercial Domicile Exemptions

* Note:If a company proposes to enter a transaction wherein it would cede or assume 75% or more of its premium or liabilities, Section 2303.15(e) of the California Reinsurance Oversight Regulations requires the company to file an application to obtain the Commissioner's consent under California Insurance Code  (CIC) Section 1011(c).  (The percentage is calculated before the reinsurance.) Each admitted company participating in a pooling agreement is also required to file a CIC Section 1011(c) application because in a pooling agreement, participants cede 100% of their business to the pool. It is not necessary to also make a Form D filing under CIC Section 1215.5(b)(3) for these transactions, because Regulation Section 2303.15 provides that applications made under CIC Section 1011(c) shall satisfy any filing requirement of CIC Section 1215.5(b)(3). In contrast to a Form D filing, CIC Section 1011(c) filings are not subject to a deemer; they also have a different filing fee. See the instructions for filing CIC Section 1011(c) applications elsewhere on this Website.

The signature page of Forms A and Forms D with original signatures must be submitted to the Corporate Affairs Bureau (CAB) within 10 business days of online submittals to:

California Department of Insurance
Legal Division
ATTN: Corporate Affairs Clerk
45 Fremont Street, 24th Floor
San Francisco, California 94105

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