It’s 6 pm. Time for outside business activities. Do you know where your people are?
FINRA Rule 3270 demands you disclose, approve, and track your members’ outside business activities. Make compliance easy for them and easier for you to track from a single dashboard – whether you are a one-branch shop or a multinational.
Don’t be the last to know what your people are up to…Track outside business activities now and nip potential conflicts in the bud faster and more cost-effectively with Patrina’s Outside Business Activities Module. One of 8 powerful modules in Patrina’s Compliance Suite, our Outside Business Activities Module streamlines the disclosure process and eliminates gaps associated with annual reporting.
Built on the industry’s easiest-to-use interface, Patrina’s Outside Business Activities Module’s built-in workflows streamline the disclosure and approval process and eliminate the gaps associated with annual reporting.
Patrina’s Outside Business Activities Module delivers:
- Built-in distribution of easy-to-use online disclosure forms and monthly reminders to employees;
- Comprehensive audit trails tracking who, what, and when OBAs are approved;
- Mitigated office audit risk by tying potential OBA conflicts into office risk scores; and
- Complete data storage in accordance with 17a-4 requirements, and customizable reporting.
While you cannot lock your people in their offices, you can streamline the disclosure and approval process.
Patrina’s that simple
Point. Click. Compliance..
So, when the regulators call, will you be ready?
Click here to schedule your Patrina demo or call +1.212.233.1155 today and we’ll help you do more, spend less, and reduce risk!
