Pre-Certification Checklist

First Name *

Last Name *

Company *

Email *

Our team grew this year by adding 1 or more NYS DFS licensed staff members *

Yes No

We have a complete Cybersecurity Program in place. (500.2) *

Yes No

The above includes a complete Cybersecurity policy set *

Yes No

My team has read and attested to our Cybersecurity policy set *

Yes No

My team have all taken and passed their Cybersecurity training *

Yes No

We have completed a Risk Assessment *

Yes No

No material changes in 2023 require a new Risk Assessment (500.9) *

Yes No

We monitor & verify our Cybersecurity Program is being followed *

Yes No

We limit system access to those who need it via policy (500.07) *

Yes No

Data retention is limited to business need/rule requirement (500.13) *

Yes No

Our systems are cloud based *

Yes No

The # of servers we maintain (Tyle 0 if you have none) *

The # of workstations that we maintain (Type 0 if you have none) *

Servers/Workstations have Cybersecurity software installed *

Yes No

Perimeter is protected by a firewall with current UTM subscription *

Yes No

Workstations/Servers/Network/Perimeter are monitored for attacks *

Yes No

3rd Party Service Provider security policies are in place (500.11) *

Yes No

Penetration Test was completed this year for my organization *

Yes No