Transactions and filings (Form A / Form D).
Filings and support for acquisitions, changes of control, and affiliate transactions.
Regulatory approval for a change of control.
Under state insurance holding company laws, anyone seeking to acquire control of a domestic insurer must file a Form A statement with the domiciliary regulator and obtain approval, often after a public hearing. The regulator examines the acquirer’s finances, plans, and management, and the effect of the change on policyholders.
Transactions between an insurer and its affiliates, such as reinsurance and service agreements, loans and asset transfers, may require prior notice on Form D so that the regulator can review them before they take effect. Both filings call for due diligence, careful drafting, and a credible operating plan.
From due diligence to approval.
Acquisitions and changes of control taken through Form A & Form D filings and hearings.
Form A filing and regulator approval for a Medicaid behavioral health providerConsultingForm A / Form DRead moreShow less
Was engaged by a Medicaid Behavioral Health and Developmental Disability care provider to locate capital, assist the new ultimate controlling person’s Form A filing, and obtain the approval of the domiciliary regulator. Related projects included the onboarding of new staff with appropriate credentials, retention & licensing of vendors, and development of policies & procedures.
Acquisition of an Arkansas life carrier: Form A and Form DConsultingForm A / Form DRead moreShow less
Retained to consult on the acquisition of an Arkansas based life carrier for its conversion into a Medicaid Plan B provider. GIC completed the due diligence of the target and provided analysis and support for the new ownership through the Form A and Form D hearings. Mr. Bingham also oversaw the completion of both Forms A and D.
Elsewhere in Regulatory Consulting.
Market conduct examinations and defense
Examination defense and mock examinations built on the NAIC Market Regulation Handbook, with corrective action plans and regulatory settlement agreements.
View Market conduct examinations and defense →Investigations and subpoenas
Response to Department of Insurance and other government investigations and subpoenas.
View Investigations and subpoenas →