Market Conduct Examination Standards (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 2019 and the 2020 Editions of the Revised Market Regulation HandbookWhat's New?

To get an idea of what's inside the 2020 Market Regulation Handbook, click on the following link:

2020 Market Regulation Handbook Table of Contents

How to Order a Copy of the 2020 Market Regulation Handbook (Non-Regulator only)

Nonregulator purchasers of the 2020 Market Regulation Handbook may access Market Regulation Handbook Reference Documents via their Account Manager login at Interim updates to the Market Regulation Handbook will be uploaded to the online subscription service (OSS) platform as they become available following each interim and national meeting of the Market Regulation and Consumer Affairs (D) Committee.


There are no call materials at this time.

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Media Inquiries
(816) 783-8909

Petra Wallace
Market Regulation Specialist

Lois E. Alexander
Market Regulation Manager


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