Notice on Filing Interim Returns and Documents for Quebec Insurers – Half Year Ending June 30, 2016

Notice of the Authority relating to filing of interim returns and other documents for the half year ending June 30, 2016 – Insurers of persons licensed in Quebec 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 Appendix attached to this Notice concerning specific AMF requirements for the filing of June 30, 2016. 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 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. 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.

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 of 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. The Guide – Specific File Transfer Service (FTS) 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 16, 2016

DOCUMENTS TO BE FILED BY INSURERS AND REINSURERS OF PERSONS LICENSED IN QUEBEC REQUIRED FOR THE HALF YEAR ENDING JUNE 30, 2016
1. LIFE 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)
2. LIFE Interim Return. - Excel &
ASCII August 14, 2016
3. Attestation of Compliance of Versions (LIFE) - Interim return, duly signed.
http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
4. 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.
5. 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
6. Attestation of Compliance of Versions (QFP), duly signed.
http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
1. LIFE 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.
2. LIFE Interim Return. - Excel &
ASCII August 14, 2016
3. Attestation of Compliance of Versions (LIFE) - Interim return, duly signed.
http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
4. 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.
5. OSFI 87, Minimum Continuing Capital and Surplus Requirements (MCCSR)
Canadian Life Insurance Companies and Fraternal Benefit Societies. - Excel & ASCII August 14, 2016
6. Attestation of Compliance of Versions (OSFI-87), duly signed.
http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
1. LIFE 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.
2. LIFE Interim Return. - Excel &
ASCII August 14, 2016
3. Attestation of Compliance of Versions (LIFE) - Interim return, duly signed.
http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
4. 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.
5. 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, 2016
6. 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, 2016 710 pdf August 14, 2016 August 14, 2016 File Formats Due date August 14, 2016 110 710 pdf August 14, 2016 -

• pdf August 14, 2016
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  August 14, 2016
  110 pdf
• pdf
• pdf
  Unstructured
  Return Code
  QUEBEC
  Excel &
  ASCII August 14, 2016
  APPENDIX
  110 pdf August 14, 2016
• pdf August 14, 2016
  Unstructured
  Return Code File Formats Due date
  FEDERAL AND EXTRA-PROVINCIAL Unstructured
  Return Code File Formats Due date
  (including Fraternel Benefit Societies)
  710 pdf August 14, 2016 pdf August 14, 2016
• pdf August 14, 2016