The NYDFS NYCRR Library includes:
- Cybersecurity Requirements (NYDFS NYCRR 500)
- Virtual Currencies (NYDFS 23 NYCRR 200), and
- Transaction Monitoring and Filtering (NYDFS 3 NYCRR 504)
The Cybersecurity Requirements (NYDFS NYCRR 500) Playbook addresses the following areas:
- Cybersecurity Program; Cybersecurity Policy; Chief Information Security Officer; Penetration Testing and Vulnerability Assessments; Audit Trail; Access Privileges; Application Security; Risk Assessment; Cybersecurity Personnel and Intelligence; Third Party Service Provider Security Policy; Multi-Factor Authentication; Limitations on Data Retention; Training and Monitoring; Encryption of Nonpublic Information; Incident Response Plan; Notification of Cybersecurity Event(s): Confidentiality; and Exemptions.
The Virtual Currencies (NYDFS 23 NYCRR 200) Playbook addresses the following areas:
- License; Compliance; Capital requirements; Custody and protection of customer assets; Material change to business; Change of control; mergers and acquisitions; Books and records; Reports and financial disclosures; Anti-money laundering program; Cyber security program; Business continuity and disaster recovery; Advertising and marketing; Consumer protection.
The Transaction Monitoring and Filtering (NYDFS 3 NYCRR 504) Playbook addresses the following areas:
- Transaction Monitoring Program Requirements; Transaction Filtering Program Requirements; Transaction Monitoring and Filtering Program; Remediation Annual Board Resolution or Senior Officer(s) Compliance Finding; Information Sharing – USA PATRIOT Act Section 314
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