Hawaii Administrative Rules › Title 16 - DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS › Chapter 14 - INSURANCE HOLDING COMPANY SYSTEM › Section 16-14-2 - General requirements for forms

Current through June, 2024
(a) Forms A, B, C,
			 D, E, and F at the end of this chapter are made a part of this chapter. The
			 forms shall be used as guides in the preparation of the statements required by
			 sections
			 431:11-104
			 to
			 431:11-104.5,
			 431:11-105,
			 and
			 431:11-106,
			 HRS; they are not intended as blank forms to be filled in. The statements filed
			 shall contain the numbers and captions of all items of the form and the
			 responses shall indicate clearly the items to which they respond. All
			 instructions, whether appearing under the items of the form or elsewhere, shall
			 be omitted, provided that the text set forth for signature and certification
			 requirements shall be followed. Unless expressly provided otherwise, if any
			 item is inapplicable or if the response to an item is in the negative, that
			 response shall be expressly stated.
(b) Statements shall be prepared
			 electronically. Statements shall be easily readable and suitable for review and
			 reproduction. Debits in credit categories and credits in debit categories shall
			 be designated so as to be clearly distinguishable on photocopies. Statements
			 shall be in the English language, and monetary values shall be stated in United
			 States currency. If any exhibit or other paper or document filed with the
			 statement is in a foreign language, it shall be accompanied by a certified
			 translation into the English language, and any monetary value shown in a
			 foreign currency shall be converted into United States currency.
(c) Two complete copies of each statement,
			 including exhibits and all other papers and documents filed as part of the
			 statement, shall be filed with the commissioner and shall be signed in the
			 manner prescribed on the form. If the signature of any person is affixed
			 pursuant to a power of attorney or other similar authority, a copy of the power
			 of attorney or other authority shall also be filed with the
			 statement.
(d) Information required
			 by any item of Form A, Form B, Form D, Form E, or Form F may be incorporated by
			 reference in response or partial response to any other item. Information
			 contained in any financial statement, annual report, proxy statement filed with
			 a governmental authority, or any other document may be incorporated by
			 reference in response or partial response to any item of Form A, Form B, Form
			 D, Form E, or Form F, provided that the document is filed as an exhibit to the
			 statement. However, documents currently on file with the commissioner which
			 were filed within three years of the date the statement is filed need not be
			 attached as exhibits. Excerpts of documents may be filed as exhibits if the
			 documents are extensive. References to information contained in exhibits or in
			 documents already on file shall clearly identify the material and shall
			 specifically indicate that the material is to be incorporated by reference in
			 response to the item. Material shall not be incorporated by reference in any
			 case where incorporation would render the statement incomplete, unclear, or
			 confusing.
(e) Where an item
			 requires a summary or outline of the provisions of any document, only a brief
			 description shall be given of the pertinent provisions of the document. The
			 summary or outline may incorporate by reference particular parts of any exhibit
			 or document currently on file with the commissioner filed within three years of
			 the date the statement is filed. Where two or more documents which must be
			 filed as exhibits are substantially identical in all material respects except
			 as to the parties thereto, the dates of execution, or other details, the person
			 filing may file a copy of only one of the documents with a schedule identifying
			 the omitted documents and setting forth the material details in which the
			 documents differ from the documents filed as exhibits.
(f) In addition to the information expressly
			 required in Form A, Form B, Form C, Form D, Form E, and Form F, the person
			 filing shall include all additional material which may be necessary to make the
			 information contained in the statements not misleading. The person filing may
			 also file exhibits in addition to those expressly required. The exhibits shall
			 be marked to indicate clearly the subject matter to which they refer.
(g) Changes to Form A, Form B, Form C, Form
			 D, Form E, and Form F shall include on the top of the cover page the phrase:
			 "Change No. to Form " and shall indicate the date of the change and not the
			 date of the original filing.
(h) If
			 an applicant requests a hearing on a consolidated basis pursuant to section
			 431:11-104(d)(3),
			 HRS, in addition to filing the Form A with the commissioner, the applicant
			 shall file a copy of Form A with the National Association of Insurance
			 Commissioners in electronic form.