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2014-06-11

Notice on Filing Interim Returns and Documents for the Half Year Ending June 30, 2014

The Autorité des marchés financiers requires Quebec-licensed insurers and reinsurers to electronically submit specified interim financial returns, compliance attestations, and capital adequacy forms via the File Transfer Service for the half year ending June 30, 2014. Filers must maintain complete paper copies at their premises and adhere to jurisdiction-specific due dates of August 14 or August 30, 2014. Failure to submit the required documents on time subjects insurers to administrative monetary sanctions under Quebec’s insurance legislation.

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Notice of the Authority relating to filing of interim returns and other documents for the half year ending June 30, 2014 – Insurers of persons licensed in Québec Under An Act respecting insurance, CQLR, c. A-32, (the “Act”), every insurer is required to file with the Autorité des marchés financiers (the “AMF” or the "Authority"), in such form as the AMF may determine and within the prescribed time period, the documents and information required under the Act or requested by the AMF pursuant to specific provisions of the Act (the “required or requested documents and information”). All required or requested documents and information must be filed electronically via the AMF website using the File Transfer Service (“FTS”)1 . See Appendices 1 and 2 attached to this Notice concerning specific AMF requirements for the filing of June 30, 2014. A complete set of paper copies of the signed documents must be kept at the insurer’s premises so that they are available for examination by the AMF, if necessary. Administrative monetary sanctions We remind you that each insurer is responsible for ensuring that the AMF receives, within the prescribed time periods, all required or requested documents and information in all forms as required. Under section 405.1 of the Act, the AMF may impose an administrative sanction where any of the documents referred to in the Appendices are filed late or are not filed. The Notice of the Autorité des marchés financiers related to administrative monetary sanctions imposed for late filing of information or documents (sections 405.1 and following of the Act ) 2 (the “sanctions framework”) is posted on the AMF website at: http://www.lautorite.qc.ca/en/right-practice-pers-pro.html 1 Decision no. 2012-PDG-0106 (in French only) dated June 5, 2012 and published in the AMF Bulletin of June 7, 2012, vol. 9, no. 23, section 5.6. 2 Update published in the AMF Bulletin (in French only) dated June 7, 2012, vol. 9, no. 23, section 5.1.

Electronic submission of financial returns and other documents The File Transfer Service (FTS) User Guide explains the procedure for submitting data via the AMF website. To consult this guide, access the FTS and click on Help. The Guide – Specific File Transfer Service (FTS) Requirements (the “guide of specific requirements”) contains instructions from the Direction principale de la surveillance des assureurs et du contrôle du droit d’exercice (Senior Direction, Supervision of Insurers and Control of Right to Practise), such as the appropriate file naming convention. Please note that the guide of specific requirements does not list the required or requested documents and information and the dates by which they are to be filed. A revised version of the guide of specific requirements is available on the AMF website at: http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html Further information Further information is available by sending an e-mail to: info-divulgations@lautorite.qc.ca June 12, 2014

DOCUMENTS TO BE FILED BY INSURERS OF PERSONS LICENSED IN QUEBEC REQUIRED FOR THE HALF YEAR ENDING JUNE 30, 2014

  1. LIFE-1 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises. It must include the following documents:
  • Corporate information (pages 10,011, 10,013 and 10,014)
  1. LIFE-1 Interim Return. - Excel ASCII August 14, 2014
  2. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  3. QFP disclosure Form on Capital Adequacy Requirements guideline - Life and Health Insurance, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  4. QFP disclosure Form on Capital Adequacy Requirements guideline - Life and Health Insurance. Hyperlink to instructions and updated form: http://www.lautorite.qc.ca/en/capital-adequacy-requirements-pro.html
  5. Attestation of Compliance of Versions (QFP), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  6. LIFE-1 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  7. LIFE-1 Interim Return. - Excel ASCII August 14, 2014
  8. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  9. OSFI 87, Minimum Continuing Capital and Surplus Requirements (MCCSR) Canadian Life Insurance Companies and Fraternal Benefit Societies, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  10. OSFI 87, Minimum Continuing Capital and Surplus Requirements (MCCSR) Canadian Life Insurance Companies and Fraternal Benefit Societies. - Excel ASCII August 14, 2014
  11. Attestation of Compliance of Versions (OSFI-87), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  12. LIFE-2 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  13. LIFE-2 Interim Return. - Excel ASCII August 14, 2014
  14. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  15. OSFI 86, Test of Adequacy of Assets in Canada and Margin Requirements (TAAM) Foreign Life Insurance Companies and Fraternal Benefit Societies, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  16. OSFI 86, Test of Adequacy of Assets in Canada and Margin Requirements (TAAM) Foreign Life Insurance Companies and Fraternal Benefit Societies. - Excel ASCII August 14, 2014
  17. Attestation of Compliance of Versions (OSFI-86), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html FOREIGN (Including Fraternel Benefit Societies) pdf August 14, 2014 710 pdf August 14, 2014 August 14, 2014 File Format Due date August 14, 2014 110 710 pdf August 14, 2014
  • pdf August 14, 2014

August 14, 2014 110 pdf

  • pdf
  • pdf Unstructured Return Code QUEBEC Excel ASCII August 14, 2014 APPENDIX 1 110 pdf August 14, 2014
  • pdf August 14, 2014 Unstructured Return Code File Format Due date FEDERAL AND EXTRA-PROVINCIAL Unstructured Return Code File Format Due date (including Fraternel Benefit Societies) 710 pdf August 14, 2014 pdf August 14, 2014
  • pdf August 14, 2014

DOCUMENTS TO BE FILED BY REINSURERS OF PERSONS LICENSED IN QUEBEC REQUIRED FOR THE HALF YEAR ENDING JUNE 30, 2014

  1. LIFE-1 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises. It must include the following documents:
  • Corporate information (pages 10,011, 10,013 and 10,014)
  1. LIFE-1 Interim Return. - Excel ASCII August 30, 2014
  2. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  3. QFP disclosure Form on Capital Adequacy Requirements guideline - Life and Health Insurance, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  4. QFP disclosure Form on Capital Adequacy Requirements guideline - Life and Health Insurance. Hyperlink to instructions and updated form: http://www.lautorite.qc.ca/en/capital-adequacy-requirements-pro.html
  5. Attestation of Compliance of Versions (QFP), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  6. LIFE-1 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  7. LIFE-1 Interim Return. - Excel ASCII August 30, 2014
  8. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  9. OSFI 87, Minimum Continuing Capital and Surplus Requirements (MCCSR) Canadian Life Insurance Companies and Fraternal Benefit Societies, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  10. OSFI 87, Minimum Continuing Capital and Surplus Requirements (MCCSR) Canadian Life Insurance Companies and Fraternal Benefit Societies. - Excel ASCII August 30, 2014
  11. Attestation of Compliance of Versions (OSFI-87), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  12. LIFE-2 Interim Return, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  13. LIFE-2 Interim Return. - Excel ASCII August 30, 2014
  14. Attestation of Compliance of Versions - Interim return, duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
  15. OSFI 86, Test of Adequacy of Assets in Canada and Margin Requirements (TAAM) Foreign Life Insurance Companies and Fraternal Benefit Societies, duly signed The pdf file must be complete, in printable format, and conform with the «paper» version kept on file at the insurer's premises.
  16. OSFI 86, Test of Adequacy of Assets in Canada and Margin Requirements (TAAM) Foreign Life Insurance Companies and Fraternal Benefit Societies. - Excel ASCII August 30, 2014
  17. Attestation of Compliance of Versions (OSFI-86), duly signed http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html (Including Fraternel Benefit Societies) APPENDIX 2 710 pdf August 30, 2014 FEDERAL AND EXTRA-PROVINCIAL Unstructured Return Code File Format Due date
  • pdf August 30, 2014 110 pdf August 30, 2014
  • pdf August 30, 2014
  • Excel ASCII August 30, 2014
  • pdf August 30, 2014
  • pdf August 30, 2014 pdf August 30, 2014 110 pdf August 30, 2014 pdf August 30, 2014 FOREIGN Unstructured Return Code File Format Due date (Including Fraternel Benefit Societies) QUEBEC Unstructured Return Code File Format Due date
  • pdf August 30, 2014 110 pdf August 30, 2014
  • pdf August 30, 2014 710 710
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