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TITLE: Transaction Monitoring and Filtering (NYCRR 504) compliance template
TYPE: article
VERSION: 1
VERSION_ID: 66eede6a-0d15-4077-a642-6f2b8ec4c266
GENERATED_AT: 2026-01-17T15:41:24.143Z
SUMMARY: Transaction Monitoring and Filtering (NYCRR 504) Excel-based smart compliance template (RCM/ICQ/SAQ) – NYDFS 23 NYCRR 504
READING TIME: 1 min
WORD COUNT: 128
SOURCE URL: https://grcplaybook.com/transaction-monitoring-and-filtering-nycrr-504
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KEY TAKEAWAYS:
  * New York State Department of Financial Services (NYDFS – 23 NYCRR)

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

# Transaction Monitoring and Filtering (NYCRR 504)

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

LIST: UL with 6 items

  - 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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ABOUT THIS CONTENT
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Source: https://grcplaybook.com/transaction-monitoring-and-filtering-nycrr-504

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