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2021-05-25

Notice Relating to the Filing of Interim Returns and Documents for Québec Life and Health Insurers for the Six Months Ending June 30, 2021

The Autorité des marchés financiers requires all authorized life and health insurers operating in Québec to electronically file signed interim returns, capital adequacy reports, and compliance attestations for the six months ending June 30, 2021. Filers must submit these documents via AMF E-Services within forty-five days following the end of each semester, maintaining complete printed versions at their premises for potential inspection. Failure to deliver complete and timely filings or refusal to provide access to required documents may result in monetary administrative penalties under the Insurers Act.

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[Translation] Notice relating to the filing of the interim return and other documents for the six months ending June 30, 2021 – Insurers of persons («life and health insurers») authorized to carry on activities in Quebec Under the Insurers Act, CQLR, c. A-32.1 (the «Act»), every authorized insurer must prepare and send the Autorité des marchés financiers (the «AMF»), according to the form, content and date the AMF determines, the documents and information provided under the Act or requested by the AMF (the «required documents and information»). All required documents and information must be filed electronically via AMF E-Services. See the Appendices attached to this Notice detailing specific requirements for the documents to be filed for the six months ending June 30, 2021. A complete set of the signed documents must be kept at the insurer’s premises so that they are available for examination by the AMF, if necessary. Monetary administrative penalties We remind you that each insurer is responsible for ensuring that the AMF receives, on the dates it determines, all required documents and information. Pursuant to sections 491 and following of the Act, monetary administrative penalties may be imposed if an authorized insurer fails to send the required documents and information to the AMF or if they are incomplete or filed late or if it refuses to communicate or provide access to the documents. Electronic submission of financial returns and other documents The E-Services Disclosure Guide (Insurers) explains the procedure for submitting files via AMF E￾Services and provides instructions for, among other things, naming files. The guide is available on the AMF website at: https://lautorite.qc.ca/en/professionals/insurers/disclosures/insurance-of-persons-life-and-health/ Please note that the E-Services Disclosure Guide (Insurers) does not list all the required documents and information or the dates by which they are to be filed. Further information: For further information, send an e-mail to: Info-Divulgations@lautorite.qc.ca. June 17, 2021

INSURERS AND REINSURERS OF PERSONS AUTHORIZED TO CARRY ON ACTIVITIES IN QUEBEC DOCUMENTS REQUIRED FOR THE SIX MONTHS ENDING JUNE 30, 2021 QUEBEC CHARTER APPENDIX 1 Return Code File Format Deadline Number of days following the end of the semester

  1. LIFE Interim Return, duly signed. The PDF file must be complete, in printable format, and conform with the version kept on file at the insurer's premises.
  2. LIFE Interim Return.
  • Excel 45 days
  1. Attestation of Compliance of Versions - Interim Return, duly signed. https://lautorite.qc.ca/en/professionals/insurers/disclosures/insurance-of-persons-life-and-health/ (Forms and instructions)
  2. Capital Adequacy Requirements - Life and Health Insurance (CARLI), duly signed. The PDF file must be complete, in printable format, and conform with the version kept on file at the insurer's premises.
  3. Capital Adequacy Requirements - Life and Health Insurance (CARLI)
  • Excel 45 days
  1. Attestation of Compliance of Versions (CARLI), duly signed. https://lautorite.qc.ca/en/professionals/insurers/disclosures/insurance-of-persons-life-and-health/ (Forms and instructions) 710 PDF 45 days Business corporation, Mutual Company, Mutual benefit association
  • PDF 45 days 110 PDF 45 days
  • PDF 45 days

INSURERS AND REINSURERS OF PERSONS AUTHORIZED TO CARRY ON ACTIVITIES IN QUEBEC DOCUMENTS REQUIRED FOR THE SIX MONTHS ENDING JUNE 30, 2021 CANADIAN CHARTER EXTRA-PROVINCIAL CHARTER FOREIGN CHARTER APPENDIX 2 Return Code File Format Deadline Number of days following the end of the semester

  1. LIFE Interim Return, duly signed. The PDF file must be complete, in printable format, and conform with the version kept on file at the insurer's premises.
  2. LIFE Interim Return.
  • Excel 45 days
  1. Attestation of Compliance of Versions - Interim Return, duly signed. https://lautorite.qc.ca/en/professionals/insurers/disclosures/insurance-of-persons-life-and-health/ (Forms and instructions)
  2. Life Insurance Capital Adequacy Test (LICAT), duly signed. The PDF file must be complete, in printable format, and conform with the version kept on file at the insurer's premises.
  3. Life Insurance Capital Adequacy Test (LICAT)
  • Excel 45 days
  1. Attestation of Compliance of Versions (LICAT), duly signed. https://lautorite.qc.ca/en/professionals/insurers/disclosures/insurance-of-persons-life-and-health/ (Forms and instructions) 710 PDF 45 days 110 PDF 45 days
  • PDF 45 days Business corporation, Mutual Company, Mutual benefit association
  • PDF 45 days
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