Certificate of Authority Section IV
Guidelines & Sample Language
This section of the application contains detailed guidelines and sample language intended to assist you with preparing many of the documents you will be required to submit.
Guidelines and samples of some contract language are set forth below. The item number listed for each guideline corresponds to the item number assigned to the document in Section III: Documents Required for Certificate of Authority Application and, therefore, represents the item number you should assign to the document in your application.
If, after reviewing this section, you still have questions about any portion of the Certificate of Authority application, please do not hesitate to contact the department's Legal Division at (415) 538-4035. Our Corporate Affairs staff is always available to answer your questions and provide assistance.
- Profile - Item #3
- Seasoning Requirements - Item #4
- Fingerprint Instructions - Item #7
- Affidavit Instructions - Item #7 and Item #8
- Advisory, Management and Service Agreements - Item #10
- Custody Agreements - Item #11
- Name Approval - Item #14
- Special Power of Attorney to Appoint Agents - Item #17
- Workers' Compensation Deposit - Item #18
- Minimum Paid-In Capital and Surplus Requirements - Item #21
- Report of Examination - Item #25
- Debt-to-Equity Ratio Statement - Item #32
- Reinsurance Arrangements - Item #33