IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information
IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information
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The Investment Adviser Non-Disclosure Agreement ("NDA") for Nonpublic Personal Information serves as an important part of an investment adviser's overall compliance and privacy program in accordance with SEC Rule 206(4)-7, Regulation S-P and/or similar state requirements. When working with third-party service providers, investment adviser firms must safeguard its customer information and ensure confidentiality. This NDA helps firms establish standard guidelines for ensuring that nonpublic personal information ("NPI") within the meaning of applicable privacy laws and regulations relating to customers of the firm or its affiliates is properly protected. Members also downloaded Due Diligence Checklist for Third-Party Service Providers.
Version/Update: V.8/September 17, 2017
Total Page Count: 2
Source/Author(s): Connexien