Kansas Records Retention Schedules

Results of Query:

Agency Code: 331-004 (Insurance Department. Financial Surveillance Division)

Page 1 of 1 showing 15 records of 15 total, starting on record 1

Agency Number: 331-004
Insurance Department
Financial Surveillance Division

SERIES ID	0006-331
TITLE	Biographical Affidavits
DESCRIPTION	Documents containing biographical information on officers and directors of domestic insurers.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0032-331
TITLE	CPA Annual Audit Reports
DESCRIPTION	Audit reports on domestic insurance companies prepared by certified public accountants.
RETENTION	002 fisc yrs
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0033-331
TITLE	Financial Examination Reports and Workpapers - Domestic
DESCRIPTION	Reports and work papers prepared by Kansas Insurance Department examiners describing the operation and financial condition of Kansas insurance companies and violations of insurance law discovered during the exam.
RETENTION	See comments
COMMENTS	Retain reports and work papers until superseded, then destroy work papers. Retain the 2 most recent reports in office, destroy remainder.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2015-04-16
K.A.R. NUMBER	53-2-185

SERIES ID	0029-331
TITLE	Financial Statement Reviews - Domestic
DESCRIPTION	Audit guides, work papers, and other documents relating to the department's financial review of Kansas insurance companies prepared in monitoring compliance with state statutes and regulations.
RETENTION	005 cldr yrs
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2015-04-16
K.A.R. NUMBER	53-2-185

SERIES ID	0030-331
TITLE	Financial Statement Reviews - Foreign
DESCRIPTION	Audit guides, work papers, and other documents relating to the department's financial review of non-Kansas insurance companies prepared in monitoring compliance with state statutes and regulations.
RETENTION	005 cldr yrs
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28 ; Revised 2015-04-08
K.A.R. NUMBER	53-2-165

SERIES ID	0066-331
TITLE	Form 5 Business Valuation Report
DESCRIPTION	Report relating to the insurer's deposit requirement which is required per K.S.A. 40-222(b)(a)(5).
RETENTION	See Comments
COMMENTS	Retain the four most recent Form 5 reports in office. Shred previous filings.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0035-331
TITLE	Holding Company Filings
DESCRIPTION	Detailed reports generally filed by domestic and selected foreign insurers describing their relationship with affiliated companies.
RETENTION	See comments
COMMENTS	Retain domestic filings 005 fiscal years, then destroy. Retain foreign filings in office until no longer useful, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2015-04-16
K.A.R. NUMBER	53-2-185

SERIES ID	0067-331
TITLE	Liquidation Files
DESCRIPTION	Documents associated with a Company that has been placed in Liquidation.
RETENTION	See Comments
COMMENTS	Retain in office for 1 year after liquidation is finalized, then shred.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0068-331
TITLE	Managing General Agent Documents
DESCRIPTION	Managing General Agent Appointment, Termination, and Annual Reporting Form.
RETENTION	See Comments
COMMENTS	Retain Appointment and Termination Forms for five years, and most recent Annual Reporting Form.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0036-331
TITLE	Mergers and Acquisitions Files
DESCRIPTION	Documents relating to the department's review of proposed insurance company mergers or acquisitions that involve a domestic company which were reviewed to determine compliance with state statutes.
RETENTION	005 cldr yrs
COMMENTS	Purge file, then retain the remainder in office for 5 years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2015-04-16
K.A.R. NUMBER	53-2-185

SERIES ID	0069-331
TITLE	Producer Controlled Insurer Reporting Form
DESCRIPTION	Form required to provide information on insurers that are controlled by producers as outlined in K.S.A. 40-37a01 et. seq.
RETENTION	005 cldr yrs
COMMENTS	Retain in office for 5 calendar years, then shred.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0037-331
TITLE	Quarterly Statements - Domestic
DESCRIPTION	Abbreviated financial statements filed quarterly by domestic insurance companies.
RETENTION	See Comments
COMMENTS	Retain four most recent quarters in office, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0070-331
TITLE	Risk-Based Capital Reports
DESCRIPTION	Report used to assess the minimum capitalization of an insurer given its overall business operations in consideration of its size and risk profile.
RETENTION	005 cldr yrs
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2015-04-16
K.A.R. NUMBER	53-2-185

SERIES ID	0031-331
TITLE	Statutory Deposit Documents
DESCRIPTION	Certification and verification of compliance with statutory requirements for deposits.
RETENTION	See Comments
COMMENTS	Retain in office 3 calendar years or until files have been subject to state audit, whichever is longer, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165

SERIES ID	0038-331
TITLE	Withdrawn Applications for Certificates of Authority
DESCRIPTION	Application, annual statement, incoming and outgoing correspondence, and other documents relating to an insurance company's application to conduct business in Kansas that have been withdrawn.
RETENTION	002 cldr years
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2010-10-28
K.A.R. NUMBER	53-2-165