The August Supplement consists of two PDF uploads - Communication of Internal Control Related Matters Notes in Audit and Management’s Report of Internal Control Over Financial Reporting.
Gain allows you to upload your PDFs into both sections. Note that PDFs can be in Letter size. August filings do not require a Jurat page.
If you have an encrypted PDF, you will need to remove the encryption. See this article for more details.
The Management’s Report of Internal Control is only reported to the State so it will not be included in the NAIC zip file. To download this, you will need to create a PDF of the Management’s Report of Internal Control in the app by selecting ‘PDF (This Section)’ on the page or using the ‘Partial PDF’ option.
However, you will need to submit the Communication of Internal Control Related Matters Noted in Audit PDF to the NAIC. This is the PDF that is included in the NAIC zip file. If you did not attach the Communication of Internal Control PDF, the zip that gets generated will have a blank PDF with just a barcode in it.
Once the PDF is attached, it will only stamp a barcode on the PDF uploads. There will not be a header stamped on either of these audits. The zip file will consist of only the PDF you uploaded for the Communication of Internal Control Related Matters Noted in Audit - there is no electronic data file.