Manage Outside Business Activity Software for Compliance and Stay FINRA-Compliant.
FINRA Rule 3270 requires firms to disclose, approve, and track members’ outside business activities (OBAs), which can be complex and time-consuming. Our software is designed to simplify this compliance requirement, making it more manageable.
Whether you operate a single-branch office or oversee a multinational organization, our software provides a unified dashboard to streamline the compliance process. This centralized system allows you to handle disclosures, approvals, and tracking from one location, ensuring that all FINRA OBA requirements are efficiently met. Our comprehensive software solution keeps you in control in the financial services industry, where managing outside business activities is crucial for regulatory compliance. It helps you fulfill all obligations with ease.
It’s 6 pm. Time for outside business activities. Do you know where your people are?
It’s 6 PM. Time for outside business activities (OBAs). Do you know where your people are and what they’re doing? Don’t be caught off guard. With Patrina’s Outside Business Activities Module, you can track and manage FINRA OBA requirements more effectively.
Our module is designed to help you stay ahead by identifying potential conflicts early and addressing them quickly and cost-effectively. As one of eight powerful modules in Patrina’s Compliance Suite, the Outside Business Activities Module streamlines the disclosure process and eliminates gaps associated with annual reporting. This ensures you have a clear, up-to-date overview of your team’s outside business activities, helping you maintain compliance with FINRA Rule 3270 and avoid unexpected issues.
Stay Compliant with Outside Business Activity Software for FINRA Rule 3270
FINRA Rule 3270 requires the disclosure, approval, and tracking of your members’ outside business activities to ensure proper oversight. Patrina’s OBA compliance software simplifies this process, whether you operate a small, single-branch office or manage a large multinational corporation.
Our software, built on the industry’s easiest-to-use interface, provides a seamless solution for meeting regulatory requirements. Patrina’s Outside Business Activities Module features built-in workflows that streamline the disclosure and approval processes, effectively removing the gaps commonly associated with annual reporting. This comprehensive tool ensures that all outside business activities are tracked and managed efficiently, keeping your organization fully compliant with FINRA regulations.
Streamlined Disclosure and Approval with Outside Business Activity Software
Don’t be left in the dark about your employees’ activities. Track outside business activities (OBAs) effectively with Patrina’s Outside Business Activities Module, part of our Compliance Suite. Say goodbye to gaps in your annual reporting and stay compliant with FINRA Rule 3270.
Our software, built on an intuitive interface, simplifies the disclosure and approval process, eliminating reporting gaps. Here’s what Patrina’s Outside Business Activities (OBA) Module offers:
- Built-in distribution of user-friendly online disclosure forms and monthly reminders to employees.
- Comprehensive audit trails, keeping track of who, what, and when OBAs are approved.
- Reduced office audit risk by integrating potential OBA conflicts into office risk scores.
- Complete data storage, compliant with 17a-4 requirements, and customizable reporting options.
While you cannot lock your people in their offices, you can streamline the disclosure and approval process to monitor outside business activities and maintain regulatory compliance.
Patrina’s that simple
Point. Click. Compliance..
