IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser The Fingerprint Card Notification Letter

The Fingerprint Card Notification Letter to FINRA is a useful template when submitting hardcopy fingerprints to FINRA for processing

This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected

Version/Update: V

The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis

IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser The Fingerprint Card Notification LetterThe NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500). The Cybersecurity Procedures include seventeen separate sections