The office of New York Department of Financial Services extended the deadline to file the Certificate of Compliance from February 15, 2020 to April 15, 2020. 

The following information is from the NYDFS website:

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.

See how CyberCompass can help you fulfill NYDFS requirements whether you are exempt or non-exempt. Our solution will get you compliant quickly with all the appropriate paperwork to file your certificate.

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