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The Compliance Certification for Non-Registered Covered Persons 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
or cause to be submitted
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)
Members also downloaded Investment Adviser Small Firm Cybersecurity Program
Version/Update: V
BD- Compliance Certification for Non-Registered Covered Persons NY Office of the Attorney General Library The Compliance Certification for Non-RegisteredThe Compliance Certification for Non Registered Covered Persons 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 Certification is often used for non registered covered persons who may interact with public
US$ 11.49
US$ 96.92
US$ 12.00
