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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
a broker-dealer firm shall require that each of its partners
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The Checklist allows the reviewer to conduct a series of monthly compliance reviews to determine and properly assess a firm’s level of compliance on a regular basis
In accordance with SEC Rule 17f-2 (Fingerprinting of securities industry personnel)
IA- New York Investment Adviser Cybersecurity Procedures (Limited Exemption) Investment Adviser The Outside Business Activities (OBA)The NY State Registered Investment Adviser Cybersecurity Policies & Procedures (Small Firm Limited Exemption) is designed to meet mandatory cybersecurity requirements for financial service entities (operating under the small firm limited exemption) in accordance with New York State Department of Financial Services (DFS) Cybersecurity Requirements for Financial Institutions (NYCRR 500). The Cybersecurity Procedures include seventeen separate sections
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