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Members also downloaded Investment Adviser Rep Annual Compliance Certification
The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations
3/October 14
Version/Update: V
Total Page Count: 1
IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser Members also downloaded Investment AdviserThe 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
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