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Ships within 48 hours · Estimated delivery Aug 29 - Sep 3
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Description
IA- Outside Business Activities (OBA) Disclosure StatementThe Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment advisers overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4) 7 and Rule 204A 1 and or similar state requirements. The OBA Disclosure Statement allows for registered advisory representatives and or access persons to disclose and report all applicable outside business activities to the advisory
The Outside Business Activities (OBA) Disclosure Statement serves as an important part of an investment adviser’s overall compliance program by meeting certain disclosure and reporting requirements under SEC Rule 206(4)-7 and Rule 204A-1 and/or similar state requirements. The OBA Disclosure Statement allows for registered advisory representatives and/or access persons to disclose and report all applicable outside business activities to the advisory firm for review and ongoing monitoring of actual and/or perceived conflicts of interest in compliance with applicable requirements. Members also downloaded Investment Adviser Rep Annual Compliance Certification.
Version/Update: V.2/September 27, 2018
Total Page Count/Format: 2/.docx
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