Statutes and regulations

Frequently Asked Questions Anti-Money Laundering Program and Suspicious Activity Reporting Requirements for Insurance Companies

FinCEN Guidance FIN-2008-G004 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Frequently Asked Questions Anti-Money Laundering Program and Suspicious Activity Reporting Requirements for Insurance Companies

Pursuant to 31 U.S.C. 5318(g)(3): “Any financial institution that makes a voluntary disclosure of any possible violation of law or regulation to a government agency …shall not be liable to any person … You also should immediately notify the Office of Chief Counsel at the Financial Crimes Enforcement Network (703-905-3590). 18.

Bulletin 2007-7

KS Bulletin 2007-07 · Kansas · Agency guidance

Kansas Insurance Department Bulletins › Bulletin 2007-7

iii)(III) and 42 U.S.C. section 1396p(b)(5)(A)(see attachment) … (2) Be a tax-qualified contract under the requirements of 26 U.S.C. section 7702(B)(b)(see attachment).

Minimum Provisions For Automobile Liability Insurance Policies Covering Motor Vehicles

CT Insurance Bulletin PC-48 · Connecticut · Agency guidance

Connecticut Insurance Department Bulletins › Minimum Provisions For Automobile Liability Insurance Policies Covering Motor Vehicles

SECTION 38a-469 OF THE GENERAL STATUTES, OR ANY OTHER HEALTH COVERAGE, INCLUDING BUT NOT LIMITED TO EMPLOYEE WELFARE PLANS SUBJECT TO THE FEDERAL EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974,29 U.S.C … SECTION 1001, ET SEQ., HEALTH CARE PLANS PROVIDED BY COLLECTIVELY BARGAINED ARRANGEMENTS, HEALTH CARE PLANS PROVIDED FOR EMPLOYEES OF THE UNITED STATES GOVERNMENT AND THEIR DEPENDENTS, PART A OR PART

Policy statement on Provisions Governing Natural Gas Quality and Interchangeability in Interstate Natural gas Pipeline Company Tariffs

Docket No. PL04-3-000 (2007-06-15): Policy statement on Provisions Governing Natural Gas Quality and Interchangeability in Interstate Natural gas Pipeline Company Tariffs · Federal · Agency guidance

FERC Policy Statements › Policy statement on Provisions Governing Natural Gas Quality and Interchangeability in Interstate Natural gas Pipeline Company Tariffs

In addition, the Commission encourages pipelines and their 26 15 U.S.C. §§ 717c, 717d and 717f (2000). Docket No. … PL04-3-000 - 30 - 18.

Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States

CFTC Letter No. 14-46 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States

See infra notes 40-41 and accompanying text. 3 7 U.S.C. § 7b-3(a)(1). 4 See 17 CFR 37.3(a)(1). 5 7 U.S.C. § 2(h)(8). 2 provisionally-registered swap data repository (“SDR”), as … Reg. at 33477. 27 See 7 U.S.C. § 7b–3. 28 Id. 29 7 U.S.C. § 7b-3(a)(1). 7 In its SEF Final Rulemaking,30 the Commission interpreted the broad registration provision in section 5h

Estimated Uninsured Deposits Reporting Expectations

FDIC FIL-37-2023 · Federal · Agency guidance

FDIC Financial Institution Letters › Estimated Uninsured Deposits Reporting Expectations

prevalent practice in the banking industry and is consistent with safe and sound banking practices and the accounting objectives set forth in Section 37(a) of the Federal Deposit Insurance Act (12 U.S.C … prevalent practice in the banking industry and is consistent with safe and sound banking practices and the accounting objectives set forth in Section 37(a) of the Federal Deposit Insurance Act (12 U.S.C

Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG

CFTC Letter No. 18-31 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Conditional No-Action Relief to Eurex Clearing AG and its FCM Clearing Members to hold customer margin in the form of securities at Clearstream Banking AG

COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 00 00 CFTC Letter No. 18-31 No-Action December … and the relevant sub-custodian, securities will be fully protected from the claims of third-party creditors as those securities move through the custody chain back to the originating jurisdiction. 18

Inquiry Regarding the Commission’s Policy for Recovery of Income Tax Costs (Notice of Inquiry)

157 FERC ¶ 61,210 · Federal · Agency guidance

FERC Policy Statements › Inquiry Regarding the Commission’s Policy for Recovery of Income Tax Costs (Notice of Inquiry)

. § 7704; 26 CFR § 1.7704-1. 5 26 U.S.C. § 7704. … PL17-1-000 - 12 - 18.

Long-Term Care Partnership Program Required Issuer Certification and Policy Notice

MT CSI Advisory Memorandum of 2010-02-23 · Montana · Agency guidance

Montana CSI Advisory Memos › Long-Term Care Partnership Program Required Issuer Certification and Policy Notice

These consumer protection requirements are set forth in Section 1917(b)(5)(A) of the Social Security Act (42 U.S.C. 1396p(b)(5)(A)) and principally include certain specified provisions of the Long-Term … On 6/18/09, Steve transferred $10,000 in assets without adequate compensation.

Letter concludes that Bank may engage in customer-driven, cash-settled financial intermediation transactions where the payments between parties are based on the price of electricity, and hedge risks arising from these permissible banking activities, provided the Bank has established an appropriate risk measurement and management process for its electricity derivative and hedging activities.

OCC Interpretive Letter No. 937 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that Bank may engage in customer-driven, cash-settled financial intermediation transactions where the payments between parties are based on the price of electricity, and hedge risks arising from these permissible banking activities, provided the Bank has established an appropriate risk measurement and management process for its electricity derivative and hedging activities.

customer-driven, cash-settled, electricity derivative business will also benefit the Bank’s customers by reducing customers’ financial risks associated with fluctuations in the prices of commodities.18 … banks may hedge bank permissible commodity derivative transactions with other commodity derivatives, such as futures, and swaps and options and other 18

FDIC Consumer Compliance Supervisory Highlights

FDIC FIL-14-2022 · Federal · Agency guidance

FDIC Financial Institution Letters › FDIC Consumer Compliance Supervisory Highlights

The comment period ended on October 18, 2021, and the agencies are considering the comments received. … The comment period ended on October 18, 2021, and the agencies are considering the comments received.

Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.

CFTC Letter No. 17-35 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Exemption from specified Part 39 regulations applicable to derivatives clearing organizations due to LedgerX’s fully-collateralized clearing model.

I (2017). 2 LedgerX concurrently submitted an application for registration as a swap execution facility (“SEF”). 3 7 U.S.C. § 7a-1(c)(2)(A)(i) (2017). … Because LedgerX will initially clear only for its own SEF,5 LedgerX represents that all participants will be “eligible contract participants,” as defined under Section 1a(18) of the CEA and Regulation

Request for Relief Regarding Obligation to Provide Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps.

CFTC Letter No. 12-58 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Request for Relief Regarding Obligation to Provide Pre-Trade Mid-Market Mark for Certain Credit Default Swaps and Interest Rate Swaps.

20581 Telephone: (202) 418-5977 Facsimile: (202) 418-5407 gbarnett@cftc.gov Division of Swap Dealer and Intermediary Oversight Gary Barnett Director CFTC Letter No. 12-58 No-Action December 18 … information that facilitates negotiations and balances historical information asymmetry regarding swap pricing.”5 2 CEA Section 4s(h)(3)(B), 7 U.S.C

Notice of Proposed Rulemaking on Assessments, Amendments to Incorporate Troubled Debt Restructuring Accounting Standards Update

FDIC FIL-33-2022 · Federal · Agency guidance

FDIC Financial Institution Letters › Notice of Proposed Rulemaking on Assessments, Amendments to Incorporate Troubled Debt Restructuring Accounting Standards Update

. 4802(a). 33 12 U.S.C. 4802(b). 34 4 U.S.C. 3501-3521. 21 connection with these OMB control numbers will be made to the OMB for review. … The authority for 12 CFR part 327 continues to read as follows: Authority: 12 U.S.C. 1813, 1815, 1817-19, 1821. 2.

The Division of Clearing and Intermediary Oversight granted exemptive relief from certain of the Part 4 regulations to the registered CPO of three commodity pools, whose shares had been publicly offered and listed for...

CFTC Letter No. 08-02 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › The Division of Clearing and Intermediary Oversight granted exemptive relief from certain of the Part 4 regulations to the registered CPO of three commodity pools, whose shares had been publicly offered and listed for...

The Act is found at 7 U.S.C. §1, et seq. (2000), and also may be accessed through the Commission’s website, at: http://www.cftc.gov/cftc/cftclawreg.htm. … Additionally, “A” remains subject to all antifraud provisions of the Act and the Commission’s regulations, to the reporting requirements for traders set forth in Parts 15, 18 and 19 of the Commission

No-action relief for LCH SA with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Banque de France.

CFTC Letter No. 24-01 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action relief for LCH SA with regard to Regulations 1.20(g)(4) and 22.5, and an exemption from the requirements of Regulation 1.49(d)(3) for customer accounts held at the Banque de France.

-5430 Facsimile: (202) 418-5547 c_hutchison@cftc.gov Division of Clearing and Risk Clark Hutchison Director Corentine Poilvet-Clédière Chief Executive Officer LCH SA 18 … See 12 U.S.C. § 5465(a). Ms.

Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de Septiembre de 2020

PR Carta Normativa Núm. CN-2019-250-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de Septiembre de 2020

APLICABLE A CIERTAS RENOVACIONES DE PLANES MÉDICOS HASTA EL 30 DE SEPTIEMBRE DE 2020 Estimados señoras y señores: La Oficina del Comisionado de Seguros ("OCS"), mediante Carta Normativa CN-2013-161-D de 18 … Participating in Approved Clinical Trials", según codificada en 42 U.S.C. § 300gg-8. 7) Los planes médicos renovados bajo estas directrices cumplirán con el resto de las disposiciones de ACA y el PHSA

Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de septiembre de 2021.

PR Carta Normativa Núm. CN-2020-263-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Extensión del Proceso de Transición Aplicable a Ciertas Renovaciones de Planes Médicos Hasta el 30 de septiembre de 2021.

APLICABLE A CIERTAS RENOVACIONES DE PLANES MÉDICOS HASTA EL 30 DE SEPTIEMBRE DE 2021 Estimados señoras y señores: La Oficina del Comisionado de Seguros ("OCS"), mediante Carta Normativa CN-2013-161-D de 18 … Participating in Approved Clinical Trials", según codificada en 42 U.S.C. § 300gg-8. 7) Los planes médicos renovados bajo estas directrices cumplirán con el resto de las disposiciones de ACA y el PHSA

Amendments to Wisconsin Medicare Supplement Rule

WI OCI Bulletin (2010-04-20) · Wisconsin · Agency guidance

Wisconsin Office of the Commissioner of Insurance Bulletins › Amendments to Wisconsin Medicare Supplement Rule

Section Ins 3.39 (18), Wis. Adm. Code, regarding electronic enrollment s. Ins 3.39 (18) (a), Wis. Adm. … Ins 3.39 (18) (b), Wis. Adm.

Long Term Care Forms

RI Insurance Bulletin 2018-16 · Rhode Island · Agency guidance

Rhode Island DBR Insurance Bulletins and Guidance › Long Term Care Forms

70% 61 66% 62 62% 63 58% 64 54% 65 50% 66 48% 67 46% 68 44% 69 42% 70 40% 71 38% 72 36% 73 34% 74 32% 75 30% 76 28% 77 26% 78 24% 79 22% 80 20% 81 19% 82 18% … or certificate form ______________ (form number) to substantiate that the form includes all required consumer protection requirements set forth in § 1917(b)(5)(A) of the Social Security Act (42 U.S.C