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The 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)
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and enforce procedures that are reasonably designed to prevent the misuse of non-public information and associated persons are strictly prohibited from trading on any information that could be considered material
the Electronic Communications Policy Disclosure Statement is designed to communicate a broker-dealer’s set of policies regarding the use of electronic communications as well as obtain certification of compliance with respect to such policies in accordance with FINRA rules and supporting regulatory notices
IA- 2019 Investment Adviser Year-End Compliance Checklist Broker The NY State Registered InvestmentThe 2019 Investment Adviser Year End Compliance Checklist serves as an important part of an investment advisers overall compliance program under SEC Rule 206(4) 7 and or similar state requirements. The Year End Compliance Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and or allow for completion of any remaining requirements. The Year End Compliance
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