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REV
ISIO
NS
as a
dopt
ed 1
1-10
-15
by th
e R
TAW
G
Rece
iver
s Han
dboo
k fo
r Ins
uran
ce C
ompa
ny In
solv
enci
esC
hapt
er 1
– T
akeo
ver &
Adm
inis
tratio
n
In o
rder
to e
ffect
ivel
y ut
ilize
the
follo
win
g pr
e-re
ceiv
ersh
ip p
roce
dure
s, it
is re
com
men
ded
to fi
rst d
iffer
entia
te b
etw
een
a sta
nd-a
lone
ent
ity a
nd a
gro
up. T
o m
ake
the
best
judg
emen
t, ev
alua
te th
e ty
pe o
f the
ent
ity a
nd c
hoos
e th
e ap
plic
able
com
pone
ntso
f the
che
cklis
t.
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esIN
ITIA
L ST
EPS
Ass
ign
take
over
resp
onsi
bilit
ies f
or e
ach
of th
e in
sure
r’s
depa
rtmen
ts/fu
nctio
nal a
reas
to a
n ap
prop
riate
repr
esen
tativ
e of
the
Rec
eive
r’s t
eam
and
dis
tribu
te c
heck
lists
acc
ordi
ngly
.
Und
erta
ke a
thor
ough
revi
ew o
f ava
ilabl
e in
form
atio
n pe
rtain
ing
to
the
insu
rer,
its o
pera
tions
and
a d
escr
iptio
n of
cor
e lin
es o
f bus
ines
s to
obt
ain
a de
taile
d un
ders
tand
ing
of th
e in
sure
r to
assi
st th
e re
ceiv
er in
plan
ning
an e
ffic
ient
and
eff
ectiv
e ta
keov
er.
Rev
iew
com
mer
cial
pub
licat
ion
repo
rts su
ch a
s A.M
. Bes
t, D
unn
&
Bra
dstre
et, S
tand
ard
& P
oor’
s, an
d M
oody
’s in
ord
er to
obt
ain
an
over
view
of t
he in
sure
r.
REG
ULA
TOR
S A
ND
SU
PER
VIS
OR
S
Det
erm
ine
the
iden
titie
s an
d co
ntac
t in
form
atio
n of
all
rele
vant
su
perv
isor
y au
thor
ities
.(i.
e.
from
m
ost
curr
ent
anal
ysis
, ex
amin
atio
n or
supe
rvis
ory
colle
ge in
form
atio
n)
Secu
reco
ntac
t inf
orm
atio
n fo
r th
e pe
rson
(s)
at th
e D
epar
tmen
t of
Insu
ranc
ere
spon
sibl
e fo
rove
rsig
ht o
fthi
s com
pany
.
Rec
eive
r’s s
taff
shou
ld m
eet w
ith th
e D
epar
tmen
t of I
nsur
ance
to
obta
in b
ackg
roun
d in
form
atio
n an
d sp
ecifi
c is
sues
with
the
insu
rer.
CO
MPA
NY
INFO
RM
ATI
ON
& O
VER
VIE
W
Obt
ain
over
view
of t
he in
sure
r’s s
ituat
ion,
incl
udin
g ty
pe o
f pr
ocee
ding
and
tim
ing
of ta
keov
er.
© 2015 National Association of Insurance Commissioners 1
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esO
btai
n fr
om th
e D
epar
tmen
t of I
nsur
ance
Its
mos
t rec
ent e
xam
inat
ion
wor
k pa
pers
,tT
he in
sure
r’s m
ost r
ecen
t ann
ual a
nd q
uarte
rly st
atem
ents
,aA
udite
d fin
anci
al st
atem
ents
with
aud
itor’
s opi
nion
,aA
ctua
rial c
ertif
icat
ions
,aA
ny S
EC fi
lings
,tT
ax re
turn
s and
any
oth
er fi
nanc
ial s
tate
men
ts.,
Hol
ding
Com
pany
Ana
lysi
s,M
ost r
ecen
t Ins
urer
Pro
file
Sum
mar
y,M
ost r
ecen
t Hol
ding
Com
pany
Reg
istra
tion
Stat
emen
t and
re
late
d fil
ing
(For
m B
, For
m F
, etc
.)
Obt
ain
copi
es o
f any
oth
er in
sure
r doc
umen
ts h
eld
by th
e D
epar
tmen
t suc
h as
insu
rer c
harte
r, by
-law
s, Fo
rm A
’s a
nd o
ther
ap
plic
atio
ns, e
tc.
Obt
ain
list o
f man
agem
ent,
incl
udin
g of
ficer
s and
dire
ctor
s,al
ong
with
bio
grap
hica
l aff
idav
its o
n fil
e w
ith th
e D
epar
tmen
t.
© 2015 National Association of Insurance Commissioners 2
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
REV
ISIO
NS
as a
dopt
ed 1
1-10
-15
by th
e R
TAW
G
Rece
iver
s Han
dboo
k fo
r Ins
uran
ce C
ompa
ny In
solv
enci
esC
hapt
er 1
– T
akeo
ver &
Adm
inis
tratio
n
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esO
btai
n or
pre
pare
an
orga
niza
tion
char
t of t
he in
sure
r and
its
subs
idia
ries a
nd a
ffili
ates
. A d
escr
iptio
n of
the
com
pany
’s
orga
niza
tiona
l stru
ctur
e, in
clud
ing:
1)A
hie
rarc
hica
l lis
t of a
ll m
ater
ial e
ntiti
es w
ithin
the
com
pany
’s o
rgan
izat
ion
(incl
udin
g le
gal e
ntiti
es th
at
dire
ctly
or i
ndire
ctly
hol
d su
ch m
ater
ial e
ntiti
es) t
hat
iden
tifie
s:a)
The
hold
er o
f eac
h le
gal e
ntity
and
fore
ign
offic
e,
b)D
iffer
entia
te b
etw
een
stan
d-al
one
and
grou
pc)
The
loca
tion,
juris
dict
ion
of in
corp
orat
ion,
lic
ensi
ng, a
nd k
ey m
anag
emen
t ass
ocia
ted
with
ea
ch m
ater
ial l
egal
ent
ity a
nd fo
reig
n of
fice
iden
tifie
d.d)
Whe
ther
the
com
pany
util
izes
any
third
par
ty
vend
ors (
affil
iate
d or
una
ffili
ated
) In
vest
men
t man
ager
,M
anag
ing
Gen
eral
Age
nts (
MG
A),
Third
Par
ty
Adm
inis
trato
rs (T
PA),
Indi
vidu
al P
ract
ice
Ass
ocia
tions
(IPA
)R
eins
uran
ce in
term
edia
rye)
Wor
king
rela
tions
hips
with
Prof
essi
onal
Em
ploy
er O
rgan
izat
ions
(PEO
) A
dmin
istra
tive
Serv
ices
Org
aniz
atio
ns (A
SO)
f)Id
entif
y if
a pr
emiu
m fi
nanc
e co
mpa
ny is
bei
ng
utili
zed
for a
ny m
ater
ial c
ontra
cts,
such
as t
he
D&
O p
olic
y.1)
2)A
map
ping
of t
he c
ompa
ny’s
crit
ical
ope
ratio
ns
and
core
bus
ines
s lin
es, i
nclu
ding
mat
eria
l ass
et h
oldi
ngs
and
liabi
litie
s rel
ated
to su
ch c
ritic
al o
pera
tions
and
cor
e lin
es o
f bus
ines
s, to
mat
eria
l ent
ities
.
© 2015 National Association of Insurance Commissioners 3
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esO
btai
n de
scrip
tion
and
revi
ew fo
reig
n op
erat
ions
.
Obt
ain
desc
riptio
n of
the
corp
orat
e go
vern
ance
stru
ctur
e an
d pr
oces
ses r
elat
ed to
reso
lutio
n pl
anni
ng.
If po
ssib
le, o
btai
n al
l of t
he a
bove
for a
ny a
ffili
ated
com
pani
es th
at
mig
ht b
e af
fect
ed b
y th
e ta
keov
er su
ch a
s par
ent,
affil
iate
s and
/or
subs
idia
ries.
Obt
ain
a de
taile
d in
vent
ory
and
desc
riptio
n of
the
key
man
agem
ent i
nfor
mat
ion
syst
emsa
nd a
pplic
atio
ns, i
nclu
ding
th
ose
for r
isk
man
agem
ent,
polic
y an
d cl
aim
s adm
inis
tratio
n,
rein
sura
nce,
and
finan
cial
and
regu
lato
ry a
ccou
ntin
g, u
sed
by
the
com
pany
and
its m
ater
ial e
ntiti
es.
Dra
ft a
desc
riptio
n of
eac
h sy
stem
or a
pplic
atio
n pr
ovid
ed to
iden
tify
the
lega
l ow
ner o
r lic
enso
r, th
e us
e or
func
tion
of th
e sy
stem
or a
pplic
atio
n, se
rvic
e le
vel a
gree
men
ts re
late
d th
eret
o,
any
softw
are
and
syst
em li
cens
es, a
nd a
ny in
telle
ctua
l pro
perty
as
soci
ated
ther
ewith
.O
btai
n de
tail
on th
e co
mpa
ny’s
syst
em b
ack-
up p
roce
dure
s. In
clud
e in
form
atio
n on
the
follo
win
g:
oFr
eque
ncy
of b
ack-
up a
nd so
ftwar
e/m
etho
ds u
sed
for
back
up p
roce
ss.
oLo
catio
n of
any
off
-site
stor
age
and
freq
uenc
y of
bac
k-up
re
stor
ed o
ff-s
ite.
oD
ate
of o
ldes
t bac
k-up
.o
Dat
e of
mos
t rec
ent b
ack-
up.
Obt
ain
an id
entif
icat
ion
of th
e sc
ope,
con
tent
, and
freq
uenc
y of
the
key
inte
rnal
repo
rts th
at se
nior
man
agem
ent u
ses t
o m
onito
r the
fin
anci
al h
ealth
, ris
ks, a
nd o
pera
tions
of th
e co
mpa
ny, i
ts m
ater
ial
entit
ies,
criti
cal o
pera
tions
and
cor
e lin
es o
f bus
ines
s.
© 2015 National Association of Insurance Commissioners 4
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
REV
ISIO
NS
as a
dopt
ed 1
1-10
-15
by th
e R
TAW
G
Rece
iver
s Han
dboo
k fo
r Ins
uran
ce C
ompa
ny In
solv
enci
esC
hapt
er 1
– T
akeo
ver &
Adm
inis
tratio
n
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esR
evie
w t
he p
roce
sses
the
com
pany
em
ploy
s for
:
1)D
eter
min
ing
the
curr
ent m
arke
t val
ues a
nd m
arke
tabi
lity
ofth
e co
re li
nes o
f bus
ines
s, cr
itica
l ope
ratio
ns, a
nd m
ater
ial
asse
t hol
ding
s of t
he c
ompa
ny;
2)A
sses
sing
the
feas
ibili
ty o
f the
com
pany
’s p
lans
for
exec
utin
g an
y sa
les,
dive
stitu
res,
rest
ruct
urin
gs,
reca
pita
lizat
ions
, or o
ther
sim
ilar a
ctio
ns; a
nd1)
3)A
sses
sing
the
impa
ct o
f any
sale
s, di
vest
iture
s, re
stru
ctur
ings
, rec
apita
lizat
ions
, or o
ther
sim
ilar a
ctio
ns o
n th
e va
lue,
fund
ing,
and
ope
ratio
ns o
f the
com
pany
, its
m
ater
ial e
ntiti
es, c
ritic
al o
pera
tions
and
cor
e bu
sine
ss li
nes.
Obt
ain
a de
scrip
tion
of th
e pr
oces
s for
the
appr
opria
te su
perv
isor
y or
regu
lato
ry a
genc
ies t
o ac
cess
the
man
agem
ent i
nfor
mat
ion
syst
ems a
nd a
pplic
atio
ns.
Obt
ain
a m
appi
ng o
f the
key
man
agem
ent i
nfor
mat
ion
syst
em/a
pplic
atio
n to
the
mat
eria
l ent
ities
, crit
ical
ope
ratio
ns a
ndco
re li
nes o
f bus
ines
s of t
he c
ompa
ny th
at u
se o
r rel
y on
them
.
Obt
ain
info
rmat
ion
on re
mot
e ac
cess
to c
ompa
ny m
anag
emen
t in
form
atio
n sy
stem
s (e.
g., W
ho h
as a
cces
s? H
ow is
rem
ote
acce
ss
impl
emen
ted
and
man
aged
?)
Obt
ain
info
rmat
ion
rega
rdin
g lo
catio
n of
off
ices
and
stor
age
faci
litie
s, st
affin
g an
d ho
w to
dea
l with
sate
llite
off
ices
.
Obt
ain
info
rmat
ion
on o
ffic
e la
yout
s and
secu
rity
issu
es.
Pre-
insp
ect p
rem
ises
if p
ossi
ble.
© 2015 National Association of Insurance Commissioners 5
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esO
btai
n in
form
atio
n on
rela
ted
party
tran
sact
ions
and
agr
eem
ents
, in
clud
ing
leas
es, s
ervi
ce a
gree
men
ts, a
gree
men
ts c
onta
inin
g co
llate
ral c
alls
, and
ow
ners
hip
of sh
ared
ass
ets,
incl
udin
g pe
rson
nel.
Obt
ain
info
rmat
ion
on it
ems t
hat w
ill a
ffec
t im
med
iate
ope
ratio
nal
need
s suc
h as
leas
es (i
nclu
ding
thos
e on
com
pute
rs),
tele
phon
es,
Web
site
s, su
pply
ven
dors
and
key
per
sonn
el.
Obt
ain
info
rmat
ion
on a
gent
s, TP
As,
adm
inis
trato
rs, M
GA
s, in
term
edia
ries a
nd re
insu
rers
, inc
ludi
ng lo
catio
ns a
nd c
onta
cts.
Obt
ain
info
rmat
ion
on a
udito
rs/a
ccou
ntan
ts a
nd a
ttorn
eys.
Req
uest
info
rmat
ion
rela
ting
to p
ayro
ll an
d em
ploy
ee b
enef
its. I
s pa
yrol
l han
dled
inte
rnal
ly o
r by
a pa
yrol
l pro
vide
r? H
ow fr
eque
ntly
is
pay
roll
mad
e? If
it is
han
dled
by
a pa
yrol
l pro
vide
r, ob
tain
the
nam
e of
the
prov
ider
. Wha
t typ
es o
f ben
efits
doe
s the
com
pany
pr
ovid
e to
its e
mpl
oyee
s (40
1K, h
ealth
insu
ranc
e, e
tc.)?
Iden
tify
bank
ing
rela
tions
hips
and
obt
ain
info
rmat
ion
on b
ank
acco
unts
, fin
anci
al in
stitu
tions
and
secu
ritie
s cus
todi
ans (
incl
udin
g Fe
dera
l Hom
e Lo
an B
ank
agre
emen
ts, i
f app
licab
le).
This
in
form
atio
n sh
ould
incl
ude
the
bank
con
tact
’s n
ame
and
title
, the
br
anch
add
ress
, and
the
cont
act’s
info
rmat
ion
(pho
ne, f
ax, e
mai
l ad
dres
s, et
c.).
Obt
ain
info
rmat
ion
on li
cens
es in
oth
er st
ates
, sta
tuto
ry d
epos
its,
spec
ial d
epos
its a
nd c
omm
unic
atio
ns w
ith o
ther
stat
es.
Det
erm
ine
any
poss
ible
gua
rant
y/fu
ndas
soci
atio
n in
volv
emen
t. C
onta
ct N
CIG
F an
d/or
NO
LHG
A if
insu
rer w
as li
cens
ed in
m
ultip
le st
ates
.If g
uara
nty
fund
s/as
soci
atio
ns a
re in
volv
ed,
adva
nced
pla
nnin
g fo
r the
tran
sitio
n of
cla
ims d
ata
and
file
info
rmat
ion
is e
ssen
tial.
Plea
se se
e C
hapt
er 6
of th
e R
ecei
vers
H
andb
ook
for a
dditi
onal
info
rmat
ion.
© 2015 National Association of Insurance Commissioners 6
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
REV
ISIO
NS
as a
dopt
ed 1
1-10
-15
by th
e R
TAW
G
Rece
iver
s Han
dboo
k fo
r Ins
uran
ce C
ompa
ny In
solv
enci
esC
hapt
er 1
– T
akeo
ver &
Adm
inis
tratio
n
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esFI
NA
NC
IAL
INFO
RM
ATI
ON
Rev
iew
and
ana
lyze
insu
rer’
s ann
ual s
tate
men
t bal
ance
shee
t by
line
item
to o
btai
n as
muc
h in
form
atio
n as
pos
sibl
e ab
out t
he a
sset
s an
d lia
bilit
ies,
incl
udin
g an
y su
bseq
uent
eve
nts,
pote
ntia
l pr
oble
ms/
unus
ual c
ircum
stan
ces a
nd sp
ecia
l ite
ms i
n th
e Ex
amin
er’s
repo
rt fo
r eac
h lin
e ite
m.
Obt
ain
or d
evel
op a
n un
cons
olid
ated
bala
nce
shee
t for
the
com
pany
an
d a
cons
olid
atin
g sc
hedu
le fo
r all
mat
eria
l ent
ities
that
are
subj
ect
to c
onso
lidat
ion
by th
e co
mpa
ny.
Als
o in
clud
e re
ques
t fro
m m
ost r
ecen
t exa
m, C
PA w
orkp
aper
s or
rece
nt a
naly
sis.
Obt
ain
a de
scrip
tion
of th
e m
ater
ial c
ompo
nent
s of t
he li
abili
ties o
f th
e co
mpa
ny, i
ts m
ater
ial e
ntiti
es, c
ritic
al o
pera
tions
and
cor
e lin
es
of b
usin
ess t
hat s
epar
atel
y id
entif
ies t
ypes
and
am
ount
s of s
hort-
term
and
long
-term
liab
ilitie
s, an
d se
cure
d, u
nsec
ured
, and
su
bord
inat
ed li
abili
ties.
Req
uest
cla
im in
form
atio
n fo
r the
com
pany
, to
incl
ude
aver
ages
of
coun
t of c
laim
s/ye
ar, t
otal
am
ount
in c
laim
pay
men
ts/y
ear,
and
fund
ing
mec
hani
sm(s
) for
cla
im p
aym
ents
.
Rev
iew
fina
ncia
l inf
orm
atio
n re
gard
ing
the
com
pany
’s c
apita
l po
sitio
n an
d m
ajor
sour
ces o
f cap
ital a
nd fu
ndin
g.
Rev
iew
des
crip
tion
of fu
ndin
g, li
quid
ity a
nd c
apita
l nee
ds o
f, an
d re
sour
ces a
vaila
ble
to, t
he c
ompa
ny a
nd it
s mat
eria
l ent
ities
, whi
ch
shal
l be
map
ped
to it
s crit
ical
ope
ratio
ns a
nd c
ore
busi
ness
line
s.
© 2015 National Association of Insurance Commissioners 7
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esR
evie
w a
ny m
ater
ial o
ff-b
alan
ce sh
eet e
xpos
ures
(inc
ludi
ng
guar
ante
es a
nd c
ontra
ctua
l obl
igat
ions
) of t
he c
ompa
ny a
nd it
s m
ater
ial e
ntiti
es.
Rev
iew
not
es a
nd in
terr
ogat
orie
s to
finan
cial
stat
emen
ts.
DER
IVA
TIV
ES A
ND
CO
UN
TER
PAR
TY E
XPO
SUR
E
Obt
ain
info
rmat
ion
and
desc
ribe
the
prac
tices
of t
he c
ompa
ny, i
ts
mat
eria
l ent
ities
and
its c
ore
lines
of b
usin
ess r
elat
ed to
the
book
ing
of tr
adin
g of
der
ivat
ive
activ
ities
.
Iden
tify
mat
eria
l hed
ges o
f the
com
pany
, its
mat
eria
l ent
ities
, and
its
cor
e lin
es o
f bus
ines
s rel
ated
to tr
adin
g an
dde
rivat
ives
ac
tiviti
es, i
nclu
ding
a m
appi
ng to
lega
l ent
ity.
Rev
iew
the
hedg
ing
stra
tegi
es o
f the
com
pany
.
Rev
iew
the
proc
ess u
nder
take
n by
the
com
pany
to e
stab
lish
expo
sure
lim
its.
Iden
tify
the
maj
or c
ount
erpa
rties
of t
he c
ompa
ny a
nd d
escr
ibe
the
inte
rcon
nect
ions
, int
erde
pend
enci
es a
nd re
latio
nshi
ps w
ith su
ch
maj
or c
ount
erpa
rties
.
Ana
lyze
whe
ther
the
failu
re o
f eac
h m
ajor
cou
nter
party
wou
ld
likel
y ha
ve a
n ad
vers
e im
pact
on
or re
sults
in th
e m
ater
ial f
inan
cial
di
stre
ss o
r fai
lure
of t
heco
mpa
ny.
Iden
tify
each
trad
ing,
pay
men
t, cl
earin
g, o
r set
tlem
ent s
yste
m o
f w
hich
the
com
pany
, dire
ctly
or i
ndire
ctly
, is a
mem
ber a
nd o
n w
hich
the
com
pany
con
duct
s a m
ater
ial n
umbe
r or v
alue
am
ount
of
trade
s or t
rans
actio
ns. M
ap m
embe
rshi
p in
eac
h su
ch sy
stem
to th
e co
mpa
ny’s
mat
eria
l ent
ities
, crit
ical
ope
ratio
ns a
nd c
ore
lines
of
busi
ness
.
© 2015 National Association of Insurance Commissioners 8
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
REV
ISIO
NS
as a
dopt
ed 1
1-10
-15
by th
e R
TAW
G
Rece
iver
s Han
dboo
k fo
r Ins
uran
ce C
ompa
ny In
solv
enci
esC
hapt
er 1
– T
akeo
ver &
Adm
inis
tratio
n
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esId
entif
y th
e pr
oces
ses u
sed
by th
e co
mpa
ny to
:
1)D
eter
min
e to
who
m th
e co
mpa
ny h
as p
ledg
ed c
olla
tera
l;2)
Iden
tify
the
pers
on o
r ent
ity th
at h
olds
such
col
late
ral;
and
1)3)
Iden
tify
the
juris
dict
ion
in w
hich
the
colla
tera
l is
loca
ted,
and
, if d
iffer
ent,
the
juris
dict
ion
in w
hich
the
secu
rity
inte
rest
in th
e co
llate
ral i
s enf
orce
able
aga
inst
the
com
pany
.
NEX
T ST
EPS
Rev
iew
con
ditio
n an
d lo
catio
n of
insu
rer’
s boo
ks a
nd re
cord
s.
Coo
rdin
ate
with
cou
nsel
to a
ssis
t in
prep
arat
ion
of th
e pe
titio
n an
d or
der a
nd d
eter
min
e pa
rties
to b
e se
rved
.
Det
erm
ine
met
hod(
s) o
f not
ifica
tion
of v
ario
us p
artie
s in
othe
r lo
catio
ns,e
.g.,
finan
cial
inst
itutio
ns, s
ecur
ities
cus
todi
ans,
etc.
Rec
onfir
m R
ecei
vers
hip
team
ass
ignm
ents
,and
det
erm
ine
Rec
eive
rshi
p te
am n
eeds
in o
ther
loca
tions
and
logi
stic
s of g
ettin
g te
am m
embe
rs to
ass
igne
d lo
catio
ns.
If po
ssib
le a
rran
ge fo
r a m
eetin
g w
ith m
anag
emen
t to
disc
uss
ram
ifica
tions
and
pro
cedu
res.
Prep
are
agen
da fo
r mee
ting
with
insu
rer p
erso
nnel
(or m
emo
for
dist
ribut
ion
to p
erso
nnel
) tha
t dis
cuss
es ra
mifi
catio
ns o
f ord
er a
nd
proc
edur
es to
be
impl
emen
ted.
Prep
are
phon
e sc
ripts
for c
usto
mer
serv
ice
repr
esen
tativ
es.
Prep
are
info
rmat
ion
to b
e po
sted
on
Web
site
s.
Prep
are
notic
es fo
r pos
ting
on o
ffic
e do
ors a
s may
be
requ
ired.
© 2015 National Association of Insurance Commissioners 9
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15
Che
cklis
t 1—
Pre-
Tak
eove
rPr
ojec
t A
ssig
ned
To
Dat
e C
ompl
eted
Com
plet
ed
By
Not
esD
eter
min
e if
secu
rity
serv
ice
is re
quire
d an
d hi
re a
s nee
ded.
Det
erm
ine
freq
uenc
y of
Rec
eive
r tea
m m
eetin
gs a
fter t
akeo
ver a
nd
met
hod
of c
omm
unic
atin
g is
sues
to te
am/R
ecei
ver a
nd th
e de
cisi
on-m
akin
g pr
oces
s.
Con
tact
app
licab
le g
uara
nty
asso
ciat
ion(
s) a
s ear
ly a
s pos
sibl
e.
© 2015 National Association of Insurance Commissioners 10
Attachment Two Receivership and Insolvency (E) Task Force
11/20/15