IA- Outside Business Activities (OBA) Disclosure Statement

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