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Practice Areas

Investment Services

RRC has full-time investment specialists as well as derivative experts who perform in-depth reviews of client company investment balances, policies and compliance with such policies.

We also document our understanding of internal controls related to the investment cycle. We perform our reviews in accordance with state statutes, the NAIC Accounting Practices and Procedures Manual, annual statement instructions, the Securities Valuation Office and the Financial Condition Examiners Handbook.

Our experience enables us to quickly customize our approach to fit the situation and assist examiners in the field with unusual investments to supplement the state's expertise. Our investment team provides both accounting research and examination work.

Some of our specific areas of assistance may include:

  • Review procedures and controls including derivatives, complex securities & other emerging high-risk investment areas
  • Review and evaluate investment-related agreements (affiliated and unaffiliated) and custodial arrangements
  • Review the purchase and sale activity related to complex transactions
  • Assist in the interviewing of portfolio managers and key investment professionals
  • Ensure proper application of statutes regarding asset-backed securities and credit risk exposure

Our specialists have also performed numerous targeted examinations related to the use of derivatives, the effectiveness of hedging programs and the appropriateness of insurers ERM function.