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 Cybersecurity Procedures include seventeen separate sections to address New York requirements regarding cybersecurity in addition to corresponding exhibits such as Electronic Communications Policy, Privacy Policy Notice, Due Diligence Checklist for Third-Party Vendors, Annual Certification and Notice of Exemption. Members also downloaded Investment Adviser Small Firm Cybersecurity Program.

Version/Update: V.2/October 3, 2017

Total Page Count: 63

Source/Author(s): Connexien