Pay in 4 interest-free payments of $40.62 Learn more
Ships within 48 hours · Estimated delivery Aug 12 - Aug 17
Version/Update: V
Members also downloaded Investment Adviser Rep Annual Compliance Certification
In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
The Written Supervisory Procedure (WSP) Attestation is a useful certification as part of a broker-dealer’s requirement to establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations
IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser Version/Update: VThe NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500). The Cybersecurity Procedures include seventeen separate sections
US$ 19.86
US$ 236.50
