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Due Diligence Checklist for Third-Party Vendors
As the obligations to supervise electronic communications are based largely on the content and audience of the message rather than the electronic form of the communication
8/September 17
Total Page Count/Format: 2/
2/October 3
IA- Outside Business Activities (OBA) Disclosure Statement Resources Due Diligence Checklist for Third-PartyThe 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
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