Communications regarding SIFI designation of American International Group

R.J. Lehmann filed this request with the Division of Financial Services, Insurance of New York.
Tracking # 2015-062803
Status
Rejected

Communications

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thanks for your help, and let me know if further clarification is needed.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on June 7, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed.

Thanks for your help, and let me know if further clarification is needed.

From: dfs.sm.RecordsAccessOfficer

Dear Mr. Lehmann:

The Department of Financial Services does not have any record of receiving the forwarded FOIL request.
It is unclear from the forwarded email chain below who you sent the request to and corresponded with.
If you could provide more information , we could follow up with that individual/unit.

Sincerely,

Michelle Birnbaum
Legal Assistant
Office of General Counsel

From: dfs.sm.RecordsAccessOfficer

Dear RJ Lehmann:

We have not received a response from our earlier email seeking information as to where you sent your request. Please respond to this email by Tuesday November 17th or we will assume you are no longer interested in the records.

Sincerely,

Michelle Birnbaum
Legal Assistant
Office of General Counsel

From: MuckRock

Hello Ms. Birnbaum,

Thank you for your letter. Acknowledgement had not yet been received regarding this request. As such, the string of communications only reflects follow-ups on the initial request and not a dialogue. If you could please provide further direction on the processing of this request, it would be greatly appreciated.

Thank you very much.

From: MuckRock

To clarify, the initial request was sent via fax to the number 212-709-1655.

Thank you.

From: dfs.sm.RecordsAccessOfficer

Dear RJ Lehmann:

We did not receive your initial fax FOIL request. Please resubmit your FOIL request for records, attached is our online link http://www.dfs.ny.gov/legal/foil.htm.

Very truly yours,

Dora Lewis
Legal Assistant
Office of General Counsel

From: R.J. Lehmann

To Whom It May Concern:

Pursuant to the New York State Freedom of Information Law (1977 N.Y. Laws ch. 933), I hereby request the following records:

All email communications sent or received by the New York Department of Financial Services between April 1, 2013 and June 30, 2013 to or from any of the following individuals:

Jacob J. Lew, Ben Bernanke, Edward DeMarco, Roy Woodall, Michael McRaith, John Huff, Chris Ledoux, John Nolan, Mark Sagat, Neal S. Wolin, Maria Perozek, Jose Berrospide, George Sacco, Todd Cohen, Diane Fraser, Scott Alvarez, Laurie Schaffer or Mario Ugoletti.

And that reference any of the following terms:

Systemically Important Financial Institution, SIFI, Basel, Financial Stability Board, G-SII, American International Group, AIU Insurance Co., American Home Assurance Co., Commerce & Industry Insurance Co. or U.S. Life Insurance Co. NYC

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that fees cannot be waived, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 5 business days, as the statute requires.

Sincerely,

R.J. Lehmann

From:

November 23, 2015 prefix = "o" ns = "urn:schemas-microsoft-com:office:office" / FOIL Request # 2015-062803 Dear Mr. Lehmann: I write to acknowledge receipt of the FOIL request that yousubmitted to the New York State Department of Financial Services(“Department”), which has been assigned the above-referenced trackingnumber.  This number replaces the confirmation receipt number thatyou received at the time you submitted your FOIL request, and should be thenumber that you refer to in any future communications with the Department. Your request has been referred to the Property Bureaufor response, which will contact you within 20 business days to (i) grant ordeny your request; or (ii) apprise you of the progress of your request.
Very truly yours,
Mary Paul-DeSuza
Tracking Number:FOIL-2015-062803-000053

From: Newman, Elaine (DFS)

Dear R.J. Lehmann :

I write to acknowledge receipt of the attached FOIL request that you submitted to the New York State Department of Financial Services ("Department"), which has been assigned the above-referenced tracking number. This is the number that you should refer to in any future communications with the Department.

Your request has been referred to the Department's Life Bureau for response, which will contact you within 20 business days to (i) grant or deny your request; or (ii) apprise you of the progress of your request.

Sincerely,

Elaine Newman, MCM
Supervising Insurance Examiner
NYS Department of Financial Services
One State Street
New York, NY 10004
elaine.newman@dfs.ny.gov<mailto:elaine.newman@dfs.ny.gov>
(212) 480 5557

From: Lewis, Dora (DFS)

Dear R. J. Lehmann:

I write to acknowledgement receipt of the FOIL request that you submitted to the New York State Department of Financial Services ("Department"), which has been assigned the above referenced tracking number. This number should be the number that you refer to in all future communications with the Department.

Your request has been referred to the Department's Office of General Counsel for response, which will contact you within 20 business days to (i) grant or deny your request; or (ii) apprise you of the progress of your request.

Very truly yours,

Dora Lewis
Legal Assistant
New York State Department of Financial Services
Office of General Counsel
One State Street
New York, NY 10004
Office Phone: 212-480-5253

From: Geisel, Sally (DFS)

Dear Mr. Lehmann:

I write in response to the FOIL request that you submitted to the NYS Department of Financial Services ("DFS"), which has been assigned the above-referenced tracking number and seeks "[a]ll email communications sent or received by the New York Department of Financial Services between April 1, 2013 and June 30, 2013 to or from any of the following individuals: Jacob J. Lew, Ben Bernanke, Edward DeMarco, Roy Woodall, Michael McRaith, John Huff, Chris Ledoux, John Nolan, Mark Sagat, Neal S. Wolin, Maria Perozek, Jose Berrospide, George Sacco, Todd Cohen, Diane Fraser, Scott Alvarez, Laurie Schaffer or Mario Ugoletti. And that reference any of the following terms: Systemically Important Financial Institution, SIFI, Basel, Financial Stability Board, G-SII, American International Group, AIU Insurance Co., American Home Assurance Co., Commerce & Industry Insurance Co. or U.S. Life Insurance Co. NYC."

DFS has two emails, which were sent to DFS, that are responsive to your request. However, those records will not be disclosed because they are exempt from disclosure under FOIL. Public Officers Law § 87(2)(a) excepts from disclosure records that are specifically exempted from disclosure by state or federal statute. The specific state statute that applies here is N.Y. Insurance Law § 110.

Insurance Law § 110 reads in relevant part:

(a) In order to assist in the performance of the superintendent's duties under this chapter, the superintendent:

* * *

(2) may receive documents, materials or information, including otherwise confidential and privileged documents, materials or information, from the National Association of Insurance Commissioners, its affiliates or subsidiaries and from regulatory and law enforcement officials of other foreign or domestic jurisdictions, including members of any supervisory college described in section three hundred two of this chapter, and shall maintain as confidential or privileged any document, material or information received with notice or the understanding that it is confidential or privileged under the laws of the jurisdiction that is the source of the document, material or information; and

(3) may enter into agreements governing sharing and use of documents, materials or information consistent with this subsection.

(b) No waiver of any applicable privilege or claim of confidentiality in the documents, materials, or information shall occur as a result of disclosure to the superintendent under this section or as a result of sharing as authorized in this section.

Insurance Law Section 110(a)(2) permits the Superintendent to obtain documents, materials, or information from another regulatory or law enforcement agency and requires the Superintendent to maintain the confidentiality of any records it obtains from such agency inasmuch as the records are confidential or privileged records of the agency. Furthermore, Section 110(a)(3) permits the Superintendent to enter into agreements governing the sharing and use of records. The responsive records are confidential or privileged records of the agencies that submitted them to DFS, and are subject to agreements governing the sharing and use of records. Hence, DFS is not disclosing the two email communications it has that are responsive to your request pursuant to Public Officers Law Section 87(2)(a) and Insurance Law Section 110.

Pursuant to Public Officers Law Section 89(4), you may appeal this determination to withhold records within 30 days by writing to Nathaniel Dorfman, Deputy General Counsel, NYS Department of Financial Services, One State Street, 20th Floor, New York, NY 10004 or by email to FOIL.Appeals@dfs.ny.gov<mailto:FOIL.Appeals@dfs.ny.gov>.

Sincerely,
Sally Geisel
Supervising Attorney
& Records Access Officer

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