Notice Relating to Filing of Interim Returns and Documents for Insurers in Québec – Half Year Ending April 30, 2014

Notice of the Authority relating to filing of interim returns and other documents for the half year ending April 30, 2014 – Insurers of persons licensed in Québec. Under An Act respecting insurance, R.S.Q., 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 April 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 (AMF Main Supervision of Insurers Section), 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. April 24, 2014

INSURERS OF PERSONS
LICENSED IN QUÉBEC
WITH AN OCTOBER 31 YEAR-END
DOCUMENTS REQUIRED FOR THE HALF YEAR ENDING ON APRIL 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.
2. LIFE-1 Interim Return. - Excel
   ASCII June 14, 2014
3. Attestation of Compliance of Versions - Interim Return, duly signed.
   http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html
4. OSFI 87, Minimum Continuing Capital and Surplus Requirements -
   Canadian Life Insurance Companies and Fraternal Benefit Societies (MCCSR), duly signed. - pdf June 14, 2014
5. OSFI 87, Minimum Continuing Capital and Surplus Requirements -
   Canadian Life Insurance Companies and Fraternal Benefit Societies (MCCSR) - Excel ASCII June 14, 2014
6. Attestation of Compliance of Versions (OSFI-87), duly signed.
   http://www.lautorite.qc.ca/en/financial-returns-pers-pro.html 710 pdf June 14, 2014
   APPENDIX

• pdf June 14, 2014
  FEDERAL AND EXTRA-PROVINCIAL Unstructured
  Return Code File Format Due date
  (Including Fraternel Benefit Societies)
  110 pdf June 14, 2014