Outside Business Activities
Written Supervisory Policies and Procedures (WSPs) are a firm’s policies and procedures that IPI and its advisors must follow. The WSP provides registered personnel information and guidance on how to better understand and follow our industry rules, regulations and IPI’s policies and practices. It should be a primary reference source for our registered personnel.
For your convenience, IPI’s WSPs are located on the IPI Advisor site at the top of the home page tabs under either the Broker/Dealer or Registered Investment Advisor for the applicable business line and then by clicking on the Procedures Manual link, which allows you to download a copy. Currently, we are in the process of reviewing and amending sections of the WSPs tailoring them to IPI’s products and services offered. This is a cumbersome activity and we will roll out updates to pertinent sections of the manual upon completion.
The first area of completion in amending the WSP is the Outside Business Activities (OBA) section. The amended procedures and the OBA Disclosure Form are linked below for your review. Requests to add new OBAs to your Form U4 should be made through submitting this OBA Disclosure Form to IPI prior to beginning the activity. The OBA Disclosure Form is found on the Advisor site under documents.
As in 2013, we will send out an annual OBA attestation in 2014 to confirm your current OBAs, if applicable. If you have any questions, please feel free to call or email to discuss.
Renee Emrick, Esq. | Chief Compliance Officer/General Counsel Investment Planners, Inc.
226 W. Eldorado St., P.O. Box 170, Decatur IL 62525
217.542.1220 | email@example.com | Integrity Performance Innovation
Amended OBA Section of WSP.pdf can be accessed at: https://ipi.egnyte.com/h-s/20131211/3400187d5e8e45ce
H.BD.05.010_Outside_Business_Activity_Disclosure.pdf can be accessed at: https://ipi.egnyte.com/h-s/20131211/78a7fb9ea6e54043