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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)
The Investment Adviser Restricted Securities List serves as an important tool for recording
2/September 26
2/October 3
BD- Written Supervisory Procedure (WSP) Attestation NY Office of the Attorney General Library The NY State Registered InvestmentThe Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker dealers 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, and with applicable FINRA rules. The Attestation is used for registered, non registered covered persons and or associated persons who conduct broker
