Cybersecurity – Phishing Email – Letter Notifying Client

$175.00

This is a sample letter for an investment adviser firm to notify a client that an email purportedly from the investment adviser firm is in fact a phishing email.  The sample letter explains what is a phishing email and then gives the client recommendations on steps to protect his or her email accounts and financial accounts.  This sample letter should be used in conjunction with our RCC’s Cybersecurity Checklist and Best Practices and with the advice of an information security consultant and compliance professional.

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This is a sample letter for an investment adviser firm to notify a client that an email purportedly from the investment adviser firm is in fact a phishing email.  The sample letter explains what is a phishing email and then gives the client recommendations on steps to protect his or her email accounts and financial accounts.  This sample letter should be used in conjunction with our RCC’s Cybersecurity Checklist and Best Practices and with the advice of an information security consultant and compliance professional.

This sample letter should be considered as a starting point; the investment adviser firm will need to customize this sample to the particular facts at hand, the advice from information security experts, its business model and policies and procedures.  Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/

This sample document  is delivered via the purchaser’s online subscription account with RIA Compliance Consultants.  If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.  For an instructional video, please visit http://ria-compliance-consultants.com/subscription-account-demo/

Included with Gold and Platinum Packages.  Initially posted in June 2018.

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