News

In the News Press Release

Eliza Fromberg Discusses Best Practices for Policing Investment Adviser Representatives' Outside Business Activities with IA Watch

Publisher: IA Watch
August 4, 2014

The August 4 issue of IA Watch features comments from Day Pitney attorney Eliza Fromberg on the importance of instituting best practices concerning monitoring outside business activities (OBA) of investment advisory firm employees. She suggests that employers periodically conduct searches on Linked In and Google to check out their reps and possibly expose undisclosed OBA. In addition, she recommends that employers train their employees on what qualifies as OBA, since some employees may not realize that their outside work could present a conflict.



Download
Related Professionals
New York, NY
T: (212) 297 5847