When an investment adviser firm suspects or detects a security breach, it must act fast to notify its clients of the incident and to provide additional to its clients to help guard their personal information against identity theft or fraud. The Sample Client Notification of Security Breach provides a useful framework for a firm to customize its initial notification to clients and to provide additional information and guidance on identity theft protection as well as contact information for the Federal Trade Commission and national credit reporting agencies. Members also viewed the Investment Adviser Cybersecurity Procedures, Investment Adviser Privacy Policy Statement, NY State Registered Investment Adviser Cybersecurity Procedures (Small Firm Limited Exemption) and Broker-Dealer Sample Client Notification of Security Breach.

Version/Update: V.2/August 12, 2020

Total Page Count/Format: 3/.docx

Source/Author(s): Connexien