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Privacy – Client Consent to Share NPPI with Non-Affiliates

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This Privacy - Client Consent to Share NPPI with Non-Affiliates is a sample form for documenting a client’s consent for an investment adviser firm to share the client’s non-public, personal information (“NPPI”) with non-affiliates. Certain states, such as California, require an investment adviser firm to obtain a client consent in a separate writing with specific language/provisions prior to sharing NPPI with non-affiliates.  An investment adviser firm should check the privacy and data protection laws and regulations of each client’s state and review any specific requirements related to the client’s opt-in authorization. For clients located in states requiring written consent to NPPI with non-affiliates, an investment adviser firm must update its privacy policy in addition to obtaining the client consent. Included with an Annual Compliance Program (Bronze, Silver, Gold, Platinum & Titanium packages). Available for a la carte purchase at

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