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Privacy – Client Consent to Share NPPI with Non-Affiliates


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Privacy - Client Consent to Share NPPI with Non-Affiliates

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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 https://www.ria-compliance-consultants.com/product/investment-adviser-client-consent-share-nppi/

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.