IA- 2019 Investment Adviser Year-End Compliance Checklist Broker Total Page Count/Format: 10/

Total Page Count/Format: 10/

3/October 14

The Attestation is used for registered

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 Broker-Dealer Electronic Communications Policy Disclosure Statement is typically used as part of a broker-dealer’s periodic compliance certification process with its registered and associated personnel

IA- 2019 Investment Adviser Year-End Compliance Checklist Broker Total Page Count/Format: 10/The 2019 Investment Adviser Year End Compliance Checklist serves as an important part of an investment advisers overall compliance program under SEC Rule 206(4) 7 and or similar state requirements. The Year End Compliance Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and or allow for completion of any remaining requirements. The Year End Compliance