Holding Company and Parent Corporation Filings

The Department’s Holding Company and Parent Corporation Filings secure portal is available for use for all submissions made pursuant to Insurance Law Article 15, 16, or 17 or regulations promulgated thereunder.

Registration statements and amendments filed pursuant to 11 NYCRR § 80-1.2 (Insurance Regulation 52), enterprise risk reports filed pursuant to 11 NYCRR § 82.2 (Insurance Regulation 203), and ORSA summary reports filed pursuant to 11 NYCRR § 82.3 (Insurance Regulation 203) must be submitted through the portal.

The portal may be used for other submissions required by Insurance Law Articles 15, 16, and 17 or regulations promulgated thereunder.

DFS Portal

To access the DFS Portal, you must have a portal account. Select the button below to log into, or create, your portal account. (You may need to disable "pop-up" prevention applications)

Additional Requirements and Restrictions

Hard Copies

Certain documents with original signatures must be submitted in hard copy.  After receiving the electronic submission, an examiner will contact the submitting company with a list of documents that must be submitted in hard copy with original signatures.

All executed surplus notes must be submitted to the Department in hard copy with original signatures.

The Department reserves the right to request hard copies of any electronic submissions.

Managed Care Organizations

Managed care organizations that utilize the DFS portal to submit filings to the Department still must make all required filings with the New York State Department of Health.

Determination of Non-Control – Special Commitment

In every instance of "[NAME OF DOMESTIC COMPANY] or [NAME OF HOLDING COMPANY]," the word "or" and all relevant companies" names must be included so that the commitment applies to both the holding company and all domestic insurers that are the subject of the application. Also, some of the provisions of the special commitment may be modified to reflect the particular business activities of individual applicants, but any such modifications first must be reviewed and approved by the bureau that is handling the application and the Department’s Office of General Counsel.

Principal Contacts for Holding Company and Parent Corporation Filings

(Other than Enterprise Risk Reports or ORSA Summary Reports):

Bureau/Division Name of Representative Email address

Property

Marc Allen

[email protected]

Health

Christine Gralton

[email protected]

Life

George Brady

[email protected]

Capital Markets

Margot Small

[email protected]