NYDFS Part 500 assessment
Review 23 NYCRR Part 500 coverage, exemptions and cybersecurity topics. Record evidence, gaps and next steps, with a Reg S-P crosswalk. For RIA operations, compliance and technology teams.
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NYDFS Part 500 assessment
Assess one legal entity and review period. SEC registration or New York clients alone do not determine DFS coverage. Confirm the entity's DFS authorization, exemptions and Class A status with a qualified reviewer. This is a section-level assessment aid, not an exhaustive legal checklist, certification or DFS filing. An exemption may leave obligations in force. No answers, deadlines or compliance status are inferred from Reg S-P work.
- Define the firm, period and information in scope.
- Record judgments with evidence and rationale.
- Export a complete draft and continue from your saved copy.
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Sources, assumptions & limits
Template 1.10.0 · Sources checked October 3, 2026. A planning aid, not legal advice, a system assessment or a compliance determination. User-recorded statuses are not independently verified.
NYDFS-500: 23 NYCRR Part 500, second amendment and DFS exemption guidance ↗ — Coverage depends on the legal entity's authorization under the Banking, Insurance or Financial Services Law. Confirm scope and exemptions independently of SEC registration. Product crosswalks indicate related work, not equivalent obligations.
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