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Regulations 504 - Banking Transaction Monitoring

Regulated Institutions should submit the required certification covering the prior calendar year by April 15 of each year.

Submit your Certification of Compliance

In order to submit your certification of compliance, a NYS DFS portal account is required. Please use this link to create an account if you don’t already have one.

Compliance

The Department expects full compliance with the regulation. A Regulated Institution may not submit a certification under 3 NYCRR 504.7 unless the Regulated Institution is in compliance with the requirements of Part 504 as of the effective date of the certification.

Additional Resources

Contact

For help with submitting your Regulations 504 certification of compliance, email TransactionRegComments@dfs.ny.gov

Updated 04/03/2018

Department of Financial Services

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