Information about 2020 - DFS Cybersecurity Filing Requirements

April 15, 2020 – Certification of Compliance Due

The DFS Cybersecurity Portal has been redesigned to assist users with their filings. To ensure that filings are matched to the appropriate Covered Entity or licensed person, we require the use of an identifying number when filing. The identifying numbers are: NYS License number, NAIC/NY Entity number, NMLS number or Institution number. Please make sure that you have your license number available when you make your filing. A look-up feature is included in the portal for anyone who does not know which number to use.

Exemptions - If an exemption filed in 2019 is still valid, Covered Entities do not need to file a new exemption in 2020. If there has been any change in exemption status, Covered Entities should amend or terminate its exemption.

More information on exemptions.

Certification of Compliance – All Covered Entities and licensed persons who are not fully exempt from the Regulation are required to submit a Certification of Compliance no later than April 15, 2020, attesting to their compliance for the 2019 calendar year. Commencing 2020, DFS is extending the deadline for filing the Certification of Compliance from February 15th of each year to April 15th of each year.

Filing Instructions to assist with the process.

Receipts - You will receive an email that includes a receipt number for all filings you complete. The receipt will indicate the year the filing was made. The receipt will also indicate the type of filing made: Notice of Exemption will have a receipt number that begins with the letter “E.” Certifications of Compliance will have a receipt number that starts with the letter “C.” You should maintain a copy of this email in your records for future reference.

Questions about filings should be directed to DFS at [email protected].