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Sircon LogoSircon Disclosure Management

Early Access Program

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The first major component of Sircon Disclosure Management helps small to mid-sized firms manage their outside business activities (or OBAs) by making it easy for your advisors to report their outside activities. It's your first step towards a measurable shift in compliance culture.

Reserve your spot in line for early access and get one month FREE.


What's Included?

Simple Advisor Portal Screenshot

Simple Advisor Portal

Disclosing outside business activities is hard. All the steps and requirements seem outdated to advisors who use amazing apps for everything else in their personal lives.

Sircon OBA Management eliminates paperwork and streamlines the disclosure process. With an easy portal for your advisors to disclose outside business activities, you encourage compliant behavior.

Streamlined Setup & Review Process

Take advantage of prebuilt OBA questionnaires built on disclosure best practices, including dynamic questions based on the type of outside activity being disclosed. All you need to do is add your advisors.

Once an outside activity is disclosed by one of your advisors, you will receive a notification to review the activity. View the advisor's responses and make your approval decision. Your response can include a compliance staff-only comment and/or a message for the advisor.

Review Process Screenshot
Review Process Screenshot

Streamlined Setup & Review Process

Take advantage of prebuilt OBA questionnaires built on disclosure best practices, including dynamic questions based on the type of outside activity being disclosed. All you need to do is add your advisors.

Once an outside activity is disclosed by one of your advisors, you will receive a notification to review the activity. View the advisor's responses and make your approval decision. Your response can include a compliance staff-only comment and/or a message for the advisor.

Advisor Oversight Screenshot

Clear Advisor Oversight

Oversee every step of the process - while keeping an electronic audit trail of everything. This keeps you close to your compliance culture and backs it up with hard evidence over time.


See it in Action

OBA Disclosure Walkthrough Video

This video walks you through the steps in OBA disclosure workflow:

  1. Advisor: Disclose a new outside business activity
  2. Reviewer: Receive a notification for the new activity
  3. Reviewer: Review and approve the new activity
  4. Advisor: Approval notification via email
OBA Disclosure Walkthrough Video

Reserve Your Spot

Sign up now for early access and take the first step toward a measurable culture of compliance.

Frequently Asked Questions

  • What are the OBA interview questions?

    The advisor will be asked a standard set of question for all OBAs. These questions are designed to collect the information required by FINRA's form U4, and include questions like ‘How much time do you spend on this activity?' The advisor will also be asked a set of questions that are specific to the type of OBA being entered. These questions are designed to assist in supervision.

  • What is the cost to my firm?

    Early access customers will receive their first year of Sircon OBA Disclosure Management for a discounted monthly subscription and also receive their first month free.

  • When will I be able to start using Sircon OBA Disclosure Management?

    Early access customers will get access in first quarter 2017. The solution will be made generally available later in 2017

  • Why small to medium size firms first?

    The initial release of Sircon OBA Disclosure Management is focused on creating a modern experience for advisors and building a best-practice advisor interview for the disclosure of outside business activities. The review and approval process has been simplified for the initial release and includes limitations that may not sufficiently meet the needs of large firms. Those needs will be addressed in later releases in 2017.

  • What if I'm a large firm?

    Sircon OBA Disclosure Management may not be able to sufficiently meet the needs of large firms in this early access version, but we plan to address those needs in later releases in 2017. If you are part of a large firm and are interested in Sircon OBA Disclosure Management, we would love to talk to you. We want to make sure everything you need is there before you sign up so your first experience with us is amazing.

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