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Investment Adviser Outside Business Activities (OBA) Tracking Log
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Investment Adviser Outside Business Activities (OBA) Tracking Log
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Investment Adviser Outside Business Activities (OBA) Tracking LogThe Investment Adviser Outside Business Activities (OBA) Tracking Log serves as an important part of a firms overall compliance program in accordance with SEC Rule 206(4) 7. The customizable Tracking Log allows firms to memorialize their receipt and review of outside business activities and includes multiple columns, sections and drop down selections to provide documentary evidence of ongoing monitoring efforts. The Tracking Log also assists firms in
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Why choose thelockerguy wholesale?
The Investment Adviser Outside Business Activities (OBA) Tracking Log serves as an important part of a firm’s overall compliance program in accordance with SEC Rule 206(4)-7. The customizable Tracking Log allows firms to memorialize their receipt and review of outside business activities and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts. The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the regulatory examination process.
Version/Update: V.2/August 31, 2022
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): Connexien
Investment Adviser Outside Business Activities (OBA) Tracking Log
Item no
:
34524365463
US$ 75.00
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1piece
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