The Investment Adviser Outside Business Activities (OBA) Tracking Log serves as an important part of a firm’s overall compliance program in accordance with SEC Rule 206(4)-7.  The customizable Tracking Log allows firms to memorialize their receipt and review of outside business activities and includes multiple columns, sections and drop-down selections to provide documentary evidence of ongoing monitoring efforts.  The Tracking Log also assists firms in addressing certain regulatory focal points often highlighted during the regulatory examination process.

Version/Update: V.2/August 31, 2022

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien