IA- Outside Business Activities (OBA) Disclosure Statement

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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