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In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
Version/Update: V
a broker-dealer firm shall require that each of its partners
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
3/October 14
IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser In accordance with SEC RuleThe 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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