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Ky.gov An Official Website of the Commonwealth of Kentucky

Public Protection Cabinet

Welcome

The Kentucky Department of Financial Institutions (DFI) is the state agency responsible for the supervision of the financial services industry and for chartering, licensing and registering various financial institutions, securities firms and professionals operating in Kentucky. In order to accomplish its mission, DFI conducts examinations on state-regulated financial industries through its Division of Depository Institutions, Division of Nondepository Institutions and Division of Securities.
 
DFI also provides educational materials and outreach to protect consumers from financial fraud. DFI assists the industry and public through the investigation of complaints filed with the office. If you have a question or need to file a complaint, DFI is here to help.
 
Everything you need on this site can be found using the yellow ribbon across the top of the page. In particular:

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8/18/2017Eclipse Tips

DFI has issued consumer financial safety tips for travelers headed to western Kentucky for the solar eclipse. For more information about the eclipse, visit http://www.kentuckytourism.com/eclipse/.

 

8/3/2017Eclipse preparations

DFI has ensured that banks within the eclipse path of totality are aware of the influx of people expected for this rare astronomical event on Aug. 21. Bank managers in the region are preparing their facilities to ensure customers and businesses have access to money and that facilities are secure.

7/31/20172016 Annual Report

​The 2016 DFI annual report is available at http://kfi.ky.gov/publications/Pages/annualreports.aspx. The DFI annual report contains statistical and historical information regarding the financial services industry in Kentucky.​

6/1/2017London Senior Scam Jam Event June 2

​​Register now for the FREE Senior Scam Jam event in London on June 2! This anti-fraud awareness event includes lunch and door prizes for the first 150 to those who register. Call 877-926-8300 or visit https://aarp.cvent.com/londonscamjam. For more information, visit http://kfi.ky.gov/public/Pages/scam.aspx.

1/27/2017Strengthen Passwords for Date Privacy Day

​This Data Privacy Day, DFI encourages everyone to be more #PrivacyAware by setting strong passwords. DFI has anti-cybercrime resources for all ages online, including an adult presentation and handout at http://kfi.ky.gov/public/Pages/scam.aspx and a student workbook along with teacher presentation and activities at http://kfi.ky.gov/public/Pages/teacher.aspx.

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Mission Statement
 
DFI's mission is to serve Kentucky residents and protect their financial interests by maintaining a stable financial industry, continuing effective and efficient regulatory oversight, promoting consumer confidence and encouraging economic opportunities.
 
Putting the Mission to Work   
 
In fulfilling its mission, DFI is dedicated to serving the suppliers, as well as the users, of financial services and to assuring a stable market which brings the two together.
 
DFI also works to promote economic growth through increased capital, whether by initial capitalization of private investors or retained earnings, and by flexible policies, laws and regulations that provide for competition within the industries.
 
Primarily through the examination process, DFI determines if Kentucky's state-regulated financial institutions and securities entities are exercising safe and sound practices and/or complying with applicable laws and regulations. Depository institutions are evaluated in the areas of management, quality of assets, capital adequacy, earnings and liquidity and are checked for compliance with laws and regulations. Securities entity and non-depository institution examinations are focused primarily on regulatory compliance and consumer protection issues.
 
DFI's long and continuing tradition of public service is supported and sustained by a highly skilled and diverse workforce that responds rapidly to changes in the financial environment.