Nev. Admin. Code § 90.Sec. 11 - NEW
1.
An investment adviser who is licensed or required to be licensed shall
establish, implement, update and enforce written policies that are reasonably
designed to aid a client in understanding how the investment adviser collects
private personal information.
2.
The policies described in subsection 1 must be delivered by the investment
adviser to the client upon the initial engagement of the client and annually
thereafter. An updated version of the policies must be delivered to the client
promptly at such time that the policies are amended or any other time that the
information in the policies becomes inaccurate.
3. The investment adviser shall maintain
true, accurate and current:
(a) Copies of the
policies described in subsection 1, which must be:
(1) Maintained in hard copy; or
(2) Stored on electronic storage media that
is separate from and not dependent upon access to the computers or networks of
the investment adviser;
(b) Records documenting the compliance of the
investment adviser with this section, including, without limitation, evidence
of the annual review of the policies; and
(c) Records of any violation of this section
and any action taken as a result of the violation.
Notes
NRS 90.390, 90.750
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