The Compliance Department, Inc

Online OBA Questionnaire		<Return to Service List

	< Previous	Next >
	The Online Outside Business Activity Questionnaire from The Compliance Department Inc. (TCD) provides an easy online solution for all sizes of Firms. Our comprehensive OBA reports provide both the depth and breath of information to identify individual and systemic compliance issues.

		Don't be lost in the woods.

The Online Outside Business Activity Questionnaire from The Compliance Department Inc. (TCD) provides an easy online solution for all sizes of Firms. Our comprehensive ACQ reports provide both the depth and breath of information to identify individual and systemic compliance issues. The Online OBA Questionnaire from The Compliance Department Inc. was created in response to broker-dealer’s ever growing need for usable and applicable information derived from the OBA process as well as the need to increase efficiency and automation in the Broker/Dealer. Features and Benefits: Web-based on-line system Unique user ID and Password 24/7 availability Secure Server Better utilization of manpower and time Detailed management reports Paperless reporting Attendance Completion Statistical Anomalies Systemic Compliance Issues Enhances firms Risk Management Program Key Risk Indicators Automated flagging and notification Industry standard questions Customized questionnaires available Competitive pricing with discounts available for bundling