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General Insurance (Level 1) Reporting Requirements
For more information about the changes to the prudential reporting framework for general insurers, including details of due dates, .
A zip file of reporting forms and instructions will be made available shortly.
will be effective from 1 January 2013.
Currently effective
Effective for reporting periods ending on or after 1 January 2013
Prescribed Capital Amount
Determination of Capital Base
Related Party Exposures
Asset risk charge
Assets by Counterparty Grade
Derivatives Activity
Off-balance Sheet Business
Details of Investment Assets
Outstanding Claims Liabilities - Insurance Risk Charge
Premiums Liabilities - Insurance Risk Charge
Insurance Concentration Risk Charge
Lenders Mortgage Insurance Series
Asset Concentration Risk Charge
Operational Risk Charge
Statement of Financial Position
Income Statement
Premium Revenue and Reinsurance Expense
Claims Expense and Reinsurance Recoveries
Details of Income and Expenses
Statement of Risk by Country
Movement in Outstanding Claims Liabilities
Premium Revenue by State and Territory of Australia
Claims Expense by State and Territory of Australia
Claims Development Table
* Reporting forms and instructions have been effective since 1 July 2008.You may be trying to access this site from a secured browser on the server. Please enable scripts and reload this page.
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Enforceable Undertakings Register
This page contains a list of Enforceable Undertakings APRA has accepted from people or corporations since 1 January 2005.
You should also check the
to see if a person or corporation has been disqualified from holding specified senior roles in APRA-Regulated entities.
All Portable Document Files (PDF) files on this website may be downloaded free of charge. To view or print PDF files, you will need a PDF reader. .
NameSection & Act*APRA Acceptance DateExpiry DateRelated LinksRealcover Insurances Pty Ltd and Real Estate Institute of New South Wales s.126 Insurance Act 197311 April 2017No expiry dateMillhouse, David Guys.262A SIS Act29 October 201328 October 2023Groeneveld, Kurt Williams. 262 SIS Act17 October 201316 April 2017Harte, Johns. 262A SIS Act4 July 20133 July 2017Anderson, Cameron Patricks. 262A SIS Act4 July 20133 July 2025Anderson, Michael Jamess. 262A SIS Act4 July 20133 July 2017Macolino, Lorenzo Patricks. 262A SIS Act28 June 201327 June 2021Hallinan, Terrences. 262A SIS Act27 June 201326 June 2021Godfrey, John Alans. 262A SIS Act5 March 2012No expiry dateO'Bryen, Davids. 262A SIS Act27 October 201126 April 2017Finkelde, Keith Rexs. 262A SIS Act12 September 201111 September 2017Phillpott, Rex Johns. 262A SIS Act6 September 20115 September 2026Andrews, David Ronalds. 262A SIS Act6 September 20115 September 2021Beck, Natashas. 262A SIS Act1 July 201130 June 2015Mega International Commercial Bank Co. Ltd (ARBN )s. 18A BA24 August 2009Undertakings completed 2 October 2012Cohen, Geoffrey Arthurs. 126 GI19 May 200926 September 2015Jones, Malcolm Murrays. 126 GI26 February 200927 August 2014Salzgeber, Florians. 126 GI13 February 200917 October 2014McCafferty, Rodney Jamess. 262A SIS Act16 August 200730 October 2017McCafferty, Kenneth Aubreys. 262A SIS Act16 August 200730 October 2017Gavex Pty Ltd (ACN 010 660 312)s. 262A SIS Act16 August 2007On satisfactory completion of undertakings set out in EUStevens, Ian Ronalds. 262A SIS Act31 July 2007No expiry dateByrne, John Garretts. 126 GI12 July 200630 June 2011West, Ian Jamess. 262A SIS Act17 May 2006No expiry dateTrahair, Geoffrey Vincents. 126 GI9 February 20069 February 2008Zurich Australian Insurance Limited (ABN 13 000 296 640)s. 126 GI25 May 2005Undertakings completed on 22 July 2010Zurich Financial Services Australia Limited (ABN 11 008 423 372)s. 126 GI25 May 2005Undertakings completed on 22 July 2010AXA Australia Staff Superannuation Pty Limited (ACN 065 632 206)s. 262A SIS Act20 May 2005Undertakings completed on 9 March 2006You may be trying to access this site from a secured browser on the server. Please enable scripts and reload this page.
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Discretionary Mutual Funds (DMFs)
October 2016
APRA has ceased its data collection from Discretionary Mutual Funds following consultation with the industry.
Discussion Letter - September 2016
Response to Submission - October 2016
Submissions
All non-confidential submissions are linked below:
Previous reporting regime
From 30 May 2014, all APRA-reporting institutions must use AUSkey to submit returns via D2A. All existing APRA-issued digital certificates that have not already expired by 30 May 2014 will no longer be valid on or after 30 May 2014.
APRA-reporting institutions that do not have an AUSkey must complete the AUSkey acknowledgement process to enable submission of returns via D2A using AUSkey.
For further details on how to enable submission via D2A using AUSkey please refer to APRA’s website at:
Download the reporting forms and instructions from the table below:
Instructions
DRF 1.0 Notification form
DRF 100.0 Insurance and Sundry Information
DRF 210.0 Outstanding Claims Provision
DRF 300.0 Statement of Financial Position
DRF 310.0 Statement of Financial Performance
DRF 310.1 Contribution Revenue by State and Territory
DRF 310.2 Claims Expense and Insurance Recoveries
DRF 310.3 Insurance by Class
DRF 310.4 Other Information
The Standard Business Reporting (SBR) initiative is a multi-agency initiative led by Treasury that will simplify business-to-government reporting in a number of ways. This will include the introduction of a single secure sign-on to submit reports to APRA and other SBR-participating government agencies. APRA will provide information to its regulated institutions in due course on the implementation of the SBR initiative, which involves all of APRA's reporting forms and will provide significant long-term benefits to institutions. For more information on SBR click , or email 上传我的文档
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Letter to industry: Response to submissions on consolidating prudential standards - Governance, Fit and Proper, Outsourcing, and business Continuity Management
12 September 2011
APRA has released four consolidated prudential standards on governance, fitness and propriety, outsourcing and business continuity management.
In December 2010, APRA released a consultation package comprising a Discussion Paper and a set of draft consolidated behavioural standards applying across authorised deposit-taking institutions (ADIs), general insurers and life companies. The consultation package included drafts of:
Prudential Standard CPS 510 Governance (CPS 510 Governance);
Prudential Standard CPS 520 Fit and Proper (CPS 520 Fit and Proper);
Prudential Standard CPS 231 Outsourcing (CPS 231 Outsourcing); and
Prudential Standard CPS 232 Business Continuity Management (CPS 232 Business Continuity Management).
Once effective, the 12 prudential standards currently applying to ADIs, general insurers and life companies will be reduced to four standards, each applicable across regulated institutions in these industries.
APRA received a number of submissions on the consultation package from regulated institutions and industry groups. Submissions were supportive of APRA’s initiative to harmonise these requirements across the regulated industries.
The Discussion Paper noted that APRA was not generally seeking to review the content and scope of the behavioural standards, beyond that required to harmonise application across industries. Submissions containing substantive content changes have been noted for any future review of the standards. APRA would consult on any such reviews as a part of its normal practice.
Submissions largely sought further clarification on APRA’s intention in respect of specific drafting changes. The final consolidated prudential standards are therefore substantially the same as the drafts released in December. APRA has, however, made minor amendments and editorial changes in response to the submissions.
In harmonising the existing prudential standards, provisions relating to the ability of the Board of a regulated institution to delegate certain Board functions to senior management or a Board committee were modified for some industries in order to facilitate the move to a set of crossindustry standards. Submissions have sought clarification on APRA’s intention regarding the ability of the Board to delegate these functions going forward.
The ultimate responsibility for outsourcing and business continuity management rests with the Board (or equivalent) of the regulated institution. However, considerations of operational efficiency may involve certain functions being delegated to senior management or a Board committee. APRA is not seeking to substantially alter this ability of the Board to delegate to senior management, where appropriate. As such:
Subparagraph 22(d) of CPS 231 Outsourcing has been amended to enable the Board to delegate involvement in approving an outsourcing agreement to senior management, consistent with current Prudential Standard APS 231 Outsourcing and Prudential Standard GPS 231 Outsourcing.
Paragraph 14 of CPS 232 Business Continuity Management has been retained. APRA does not consider that ensuring that the regulated institution’s business continuity risks and controls are taken into account as part of the overall risk management system and when completing a risk management declaration is a function that can be delegated to senior management.
In the context that the Board has overall responsibility for management of business continuity risks, CPS 232 Business Continuity Management has been amended to remove a paragraph of the standard requiring the Board to ensure that sufficient infrastructure, budgetary and other resources are allocated and maintained, to avoid confusion about APRA’s expectations.
As noted in the Discussion Paper, CPS 510 Governance includes a requirement for the Board of each regulated institution that operates as part of a corporate group to approve the use of any group policies and functions in keeping with its responsibilities. The Board of each regulated institution must ensure that any such group policies and functions give appropriate regard to the specific business and circumstances of that regulated institution. APRA considers that it is prudent governance practice that the Board of a regulated institution considers the appropriateness of group policies and functions and explicitly approves their use.
APRA will provide further guidance on the role of the Board and senior management in the associated Prudential Practice Guides (PPGs) as appropriate.
A paragraph has been included in CPS 231 Outsourcing to clarify that, where a foreign ADI, Category C insurer or eligible foreign life insurance company has entered into an outsourcing agreement with its head office, they are not required to:
execute a legally binding o or
demonstrate that they have taken into account contingency issues in accordance with CPS 232 Business Continuity Management, should the outsourced activity need to be brought in-house.
This is in recognition of the specific structure of branch operations, which do not have a separate legal existence from their head office.
A minor amendment has been made to CPS 232 Business Continuity Management to clarify the definition of business impact analysis. The amendment clarifies that business impact analysis is a process performed to identify the critical business operations. That is, a regulated institution cannot just perform a business impact analysis for critical business operations - it must performthe analysis for all operations in order to determine which are critical.
As part of the consolidation project, requirements relating to business continuity management and outsourcing currently contained in Prudential Standard GPS 221 Risk Management: Level 2 Insurance (GPS 221) are being transferred into the relevant consolidated prudential standard. To facilitate this, GPS 221 has been reissued with these provisions omitted.
In order to allow sufficient time for regulated institutions to review and ensure continued compliance with the requirements, the consolidated prudential standards will be effective from 1 July 2012. APRA expects that this will allow a sufficient transition period for regulated institutions to assess their continued compliance with the new standards in line with their normal review cycles for these documents.
The consolidated prudential standards include provisions preserving the operation of all determinations (including any approvals, waivers or directions) made under previous versions of the standards that are in operation at the effective date. Accordingly, regulated institutions will not be required to reapply to APRA to request the continued exercise of such discretions.
The December 2010 consultation package also indicated APRA’s intention to harmonise existing industry-specific PPGs relating to governance, fitness and propriety, outsourcing and business continuity management. APRA expects to release draft consolidated PPGs for consultation in early 2012.
For further information please contact .}