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Market Conduct Examination Guidelines (D) Working Group

2021 Membership

The Market Conduct Examination Guidelines (D) Working Group will accomplish its assigned tasks via regularly scheduled conference calls. Notice of upcoming conference calls will be posted on this Web page, on the NAIC Conference Call Calendar and on StateNet.

2021 Adopted Charges

Market Conduct Examination Guidelines (D) Working Group (Successor Group to 2020 Market Conduct Examination Standards (D) Working Group)

The Market Conduct Examination Guidelines (D) Working Group will:

  • Develop market conduct examination standards, as necessary, for inclusion in the Market Regulation Handbook.
  • Monitor the adoption and revision of NAIC models and develop market conduct examination standards to correspond with adopted NAIC models.
  • Develop updated standardized data requests, as necessary, for inclusion in the Market Regulation Handbook.
  • Develop uniform market conduct procedural guidance (e.g., a library, depository or warehouse with market conduct examination templates, such as an exam call letter, exam exit agenda, etc.) for inclusion in, or for use in conjunction with, the Market Regulation Handbook.
  • Coordinate with the Innovation and Technology (EX) Task Force to develop market conduct examiner guidance for the oversight of regulated entities’ use of insurance and non-insurance consumer data and models using algorithms and artificial intelligence (AI).
  • Discuss the effectiveness of a group’s supervision of market conduct risks and develop examination procedural guidance, as necessary.
  • Discuss the role of market conduct examiners in reviewing insurers’ corporate governance as outlined in the Corporate Governance Annual Disclosure Model Act (#305) and the Corporate Governance Annual Disclosure Model Regulation (#306).

The following document provides a summary of the changes between the 2020 and the 2021 Editions of the Revised Market Regulation Handbook —What's New?

To get an idea of what's inside the 2021 Market Regulation Handbook, click on the following link:

2021 Market Regulation Handbook Table of Contents

How to Order a Copy of the 2021 Market Regulation Handbook (Non-Regulator only)

Nonregulator purchasers of the 2021 Market Regulation Handbook may access Market Regulation Handbook Reference Documents via their Account Manager login at https://www.naic.org/account_manager.htm. Interim updates to the 2021 Market Regulation Handbook are included as part of the 2021 Market Regulation Handbook on OSS Bookshelf.

Market Conduct Examination Guidelines (D) Working Group

Public Conference Call
Thursday, November 04, 2021
12:00 PM ET, 11:00 AM CT, 10:00 AM MT, 9:00 AM PT
Expected Length of Call: 1 hr
Webex Link

An agenda and materials will be posted prior to the Webex.


Market Conduct Examination Guidelines (D) Working Group

Public Conference Call
Thursday, October 07, 2021
12:00 PM ET, 11:00 AM CT, 10:00 AM MT, 9:00 AM PT
Expected Length of Call: 1 hr
Webex Link


Market Conduct Examination Guidelines (D) Working Group

Public Conference Call
Thursday, September 02, 2021
12:00 PM ET, 11:00 AM CT, 10:00 AM MT, 9:00 AM PT
Expected Length of Call: 1 hr
Webex Link


Market Conduct Examination Guidelines (D) Working Group

Public Conference Call
Thursday, June 10, 2021
12:00 PM ET, 11:00 AM CT, 10:00 AM MT, 9:00 AM PT
Expected Length of Call: 1 hr
Webex Link


Related NAIC Publications

Contacts

Media Inquiries
(816) 783-8909
news@naic.org


Media Inquiries
(816) 783-8909
news@naic.org


Petra Wallace
Senior Market Regulation Specialist
816-783-8272

Lois E. Alexander
Market Regulation Manager
816-783-8517

 

Please see the current Committee List for a complete list of committee members.

Please see the current Committee List for a complete list of committee members.