Regulatory Cyber Alert: NYS-DFS Issues Failure to File Certification of Compliance Letters

March 6, 2018

On March 5, 2018, New York State Department of Financial Services’ (“NYS-DFS”) Superintendent Maria T. Vullo issued notices to firms that failed to file their certification of compliance with Article 23 Part 500 (“NYS-DFS 23 NYCRR 500”).

How ACA Aponix Can Help

If your firm received a non-compliance letter, ACA Aponix can assist with preparing your exemption form to review with legal counsel. We recommend consulting with legal counsel for covered entity determination and sign-off. Even if your firm is not a covered entity, you must still file for exemption status.

If your firm is a covered entity, we can help assess your readiness to comply with the requirements of NYS-DFS 23 NYCRR 500.

Additional Resources

The following ACA resources are available to help your firm navigate the complexities of the NYS-DFS 23 NYCRR 500 regulation:

For More Information

For more information about how ACA Aponix can help with NYS-DFS 23 NYCRR 500 compliance, please contact us at or contact your regular ACA consultant.