FAQ
Questions.
Is this legal advice?
No. We provide templates and a written assessment from an IT and cybersecurity point of view. Have your counsel or compliance advisor review anything you submit to DFS.
Who is this for?
Small DFS-regulated firms, such as independent insurance agencies and brokers, lenders and other licensees, especially ones that use AI tools but haven't documented them.
We qualify for a limited exemption under §500.19. Do we still need a risk assessment?
Most limited exemptions still require a §500.9 risk assessment. Check your exemption filing with your advisor.
How long does it take?
You get the drafts within 10 business days of the intake call, and 2 rounds of revisions are included.
What do you need from us?
A 45-minute call, a list of your software and vendors, and someone who can answer questions about how your staff use email, quoting and client-communication tools.
Do you need access to our systems?
No. The assessment is based on interviews and the documents you provide. We don't need admin credentials.
What if we already bought the $299 kit?
Your $299 counts toward the assessment if you upgrade within 60 days. Use code KITCREDIT on the balance.
What's the refund policy?
The $750 deposit is fully refundable until the intake call. After that, it covers the work already started.
Who files the certification?
You do. Under §500.17, your senior officer or board is responsible for the annual certification. Our memo supports that decision but doesn't replace it.