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Vermont Domestic Captives Filing Requirements

ELECTRONIC SIGNATURES AND NOTARIZATION

  • We allow electronic or e-signatures utilizing digital signature software and request that available software confirmations, such as e-signature certificates, be included within PDF filings.
  • For documents requiring a notarized signature it is our expectation that documents be notarized, whether original or remote.
  • Per the Vermont Secretary of State, Vermont notaries are allowed to notarize remotely (Effect. 9/15/2021; Further Extended and Expires 3/9/2023)  
  • We will accept remote documents from out of state if that state allows remote notarization.   
  • If circumstances dictate that you are unable to obtain notarization, please request a waiver by letter to dfr.captivemail@vermont.gov.
  • There are several technology companies that offer end-to-end remote notarization systems, which may be permitted by other states where the notarization originates.  They include, but not limited to:

All filings must be submitted electronically in combined single PDF unsecure format and no Zip files are accepted.  

If you are an existing Vermont licensed captive please see Resources - Lists for our approved service providers, Vermont captive list, checklists and filing requirements, as well as other resources. 

Please see Forms and Templates for new actuary or CPA applications, biographical affidavits, LOC template and audit certification forms, as well as other forms.

Please see Filing Due Date Checklists for domestic due dates by captive type.


All captive filings should be submitted electronically to:

► dfr.captivemail@vermont.gov - for captive mail correspondence requiring regulatory approval (including but not limited to change of business plan, 5-yr pro forma, permitted practice, loan, dividend, waiver or extension); or general notifications (including but not limited to change of officer/director, change in service provider)

► dfr.captivefinancialfilings@vermont.gov - for captive financial filings (including but not limited to all NAIC and non-NAIC/Vermont domestic related regulatory financial filings, supplemental filings, audited financial statement, actuarial filing, ownership [parent] financials, reinsurer financials) 

IMPORTANT: For Vermont domestic email correspondence please indicate the Vermont License #/Captive Name in the subject line (for all Foreign RRGs please indicate the NAIC#/Captive Name and for Risk Purchasing Groups please indicate company name and assigned #).  Please submit all materials as unsecure PDFs.