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Ships within 48 hours · Estimated delivery Aug 16 - Aug 21
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Description
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
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
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy