OBAs can cost you money and land you in jail! Just ask former registered rep James Van Doren who’s barred from the securities industry and spending the next 15 months in Federal prison (check out our blog “Will outside business activities land you in jail?” FINRA called him unfit and a grave risk to customers, firms and other participants in the industry).
One of 8 powerful modules in Patrina’s Compliance Suite, Patrina’s Outside Business Activities Module helps you nip potential conflicts in the bud faster and more cost-effectively from a single dashboard built on the industry’s easiest-to-use dashboard — whether you are a one-branch shop or a multinational.
Be compliant and save money! Demo Patrina’s Outside Business Activities Module today because…
what you don’t know about your firm members’ outside business activities can hurt them and you. Yo may not be able to lock your people in their offices, but for as little as $1.25 per user per month you can streamline your disclosure and approval processes, stay alert, and be compliant.One of 8 powerful modules in Patrina’s Compliance Suite, Patrina’s Outside Business Activities Module helps you nip potential conflicts in the bud faster and more cost-effectively from a single dashboard built on the industry’s easiest-to-use dashboard — whether you are a one-branch shop or a multinational.
Sign up here for a 15-minute demo to see how Patrina simplifies your OBA process for as little as $1.25 per user/month.
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Address: Patrina Corporation, Two Wall Street, New York, NY 10005
call us at: (212) 233-1155
e-mail: Customer Service
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