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Reporting Requirements


**ATTENTION: BEGINNING WITH THE 2016 - 2017 RENEWAL YEAR, ALL PRENEED REPORTING MUST BE SUBMITTED ONLINE**

ALDOI - Preneed Online - Click to be redirected to the log-in page for "ALDOI-Preneed Online", the Preneed Division's new Preneed renewal and reporting site.

Certificate Holder Semi-Annual Report

(Due within 45 days of the end of the reporting period)

Certificate Holders must file reports semi-annually, within 45 days of June 30th and December 31st for the two quarters just ended. Reports should be submitted for each Certificate Holder as well as each Branch Registrant. Reports are due August 14th and February 14th, annually. If a certificate holder twice defaults in complying with the Semi-Annual reporting requirements the commissioner may require the certificate holder to report quarterly within 45 days after the end of each calendar quarter. Defaults need not be consecutive.

Semi-annual reports, must be accompanied by an annual statement of trust activity from the trustee(s) for each merchandise and services trust account for the preceding calendar year for each Certificate Holder or Branch Registrant. If the trustee(s) was changed during the reporting period, then a statement of trust activities from the new trustee as well as the old trustee should be submitted. Likewise, a policy listing showing the policy activity for the preceding calendar year should be included from each insurer used by the Certificate Holder and/or Branch Registrant to fund post-law preneed contracts. Finally, any Certificate Holders and/or Branch Registrants funding preneed with a Letter of Credit or Surety Bond should submit a detail listing of the outstanding contract liability under each Letter of Credit or Surety Bond. Statements are required to be submitted electronically.

The Certificate Holder should submit the Certificate Holder – Semi-Annual Report and Branch Registrant – Semi-Annual Reports for any of its Branch Registrants through ALDOI - Preneed Online. Review the Semi-Annual Report Instructions, which includes detailed step-by-step completion instructions for the Semi-Annual Report.

Inactive - Annual Report

If a Certificate Holder becomes inactive for any reason (surrender, expiration, etc.) then the Inactive Certificate Holder – Annual Report must be filed annually, so long as the Inactive Certificate Holder has at least one unfulfilled preneed contract. If the Inactive Certificate Holder has ever funded preneed contracts by trust and has one or more trust funded contracts outstanding/unfulfilled in the reporting year, then the Inactive Certificate Holder must file a statement of trust activities for each merchandise and services trust for the reporting year (January 1st – December 31st) with the Inactive Certificate Holder – Annual Report. The report and the statement from the trustee(s) regarding all trust activities (if applicable) is due within 90 days of the end of the reporting period, January 1st – December 31st (due April 1st). If the Certificate Holder has contracts funded by insurance, then a detailed statement from the insurer showing policy activity must accompany the report. Statements are required to be submitted electronically. See the Documentation section below for more details.

Inactive – Annual Reports must be submitted online through ALDOI - Preneed Online.

Annual Report of Endowment Care

Endowment Care Reports are due by April 1 annually. No Cemetery Authority applying to renew its Preneed Certificate of Authority, will be renewed until such time as its Annual Endowment Care Report and the related Annual Endowment Care Trust Statement has been received. Please visit the Certificate of Authority & Branch Registration Renewal for further information regarding renewals.

All Endowment Care Cemeteries, whether licensed to sell preneed or not, must file a report and trust statement from the trustee on the trust’s activities for the reporting year, annually and within 90 days of the end of the reporting year (due April 1st). The report includes the annual trust statement provided by the trustee and if applicable a copy of each board member’s bond. At the Department’s discretion, the cemetery property sales log may be required to accompany the report as well. Trust statements are required to be submitted electronically. See the Documentation section below for more details as well as a list of trustees, who have agreed to electronically submit the required trust statements on behalf of their clients.

Please review the Filing Instructions for the Annual Report of Endowment Care prior to filing to ensure the information provided is accurate and as requested.

Documentation

The required trust statements, policy listings and liability reports should be submitted electronically. The department will not contact insurers or trustees to request the required documentation.

DOCUMENT UPLOAD