New York State Department of Financial Services (NYDFS – 23 NYCRR)

Transaction Monitoring and Filtering (NYCRR 504)

The Transaction Monitoring and Filtering (NYCRR 504) Playbook addresses the following areas:

  • 504.3(a) Transaction Monitoring Program Requirements
  • 504.3(b) Transaction Filtering Program Requirements
  • 504.3(c) Transaction Monitoring and Filtering Program
  • 504.3(d) Remediation
  • 504.4 Annual Board Resolution or Senior Officer(s) Compliance Finding
  • Information Sharing - USA PATRIOT Act Section 314

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