News & Analysis as of

Filing Requirements NYDFS

Bressler, Amery & Ross, P.C.

2021 DFS Cybersecurity Filing Requirements Clarified by NY DFS - Certification of Compliance Due April 15, 2021

DFS reports that its 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, DFS requires the use of an identifying...more

Akin Gump Strauss Hauer & Feld LLP

New York State Department of Financial Services Extends Deadline for Certification of Compliance Filings

NYDFS Extends Deadline to File Certificate of Compliance Under Cybersecurity Regulation in Light of COVID-19 Crisis Given the ongoing COVID-19 pandemic, the New York State Department of Financial Services (NYDFS) extended...more

Ballard Spahr LLP

NYDFS Requires Filing of Preparedness Plans and Financial Risk Assessments Related to COVID-19

Ballard Spahr LLP on

In an Industry Letter, the New York State Department of Financial Services (NYDFS) is requesting assurance that New York State regulated institutions have preparedness plans in place to address operational risk, and it is...more

Kramer Levin Naftalis & Frankel LLP

Funds Talk: March 2017

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

Carlton Fields

NY DFS Proposes New Regulation for Life and Annuity Non-Guaranteed Elements

Carlton Fields on

On November 17, the New York Department of Financial Services (DFS) issued a press release announcing its proposal of new Insurance Regulation 210 - Life Insurance and Annuity Non-Guaranteed Elements. Non-guaranteed elements...more

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