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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 customizable updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of an Investment Adviser’s overall due diligence review process before engaging with third-party vendors
Source/Author(s): Connexien
IA- 2019 Investment Adviser Year-End Compliance Checklist Broker 3/October 14The 2019 Investment Adviser Year End Compliance Checklist serves as an important part of an investment advisers overall compliance program under SEC Rule 206(4) 7 and or similar state requirements. The Year End Compliance Checklist allows investment adviser firms to record and reconcile compliance tasks that are required throughout the year to close any compliance gaps and or allow for completion of any remaining requirements. The Year End Compliance
