How to Inspect Communications for Outside Business Activities

Monitoring employee conduct has become more complicated now that work from home seems here to stay. For wealth management firms under the watchful eye of regulators, employee involvement in unauthorized outside business activities (OBA) can have serious consequences.

It has never been more important to take proactive steps to increase visibility into employee communications and identify potential misconduct.

This checklist provides 9 important recommendations to help you identify potential areas of OBA risk and close the visibility gap for unauthorized business activities and other areas of employee impropriety.