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Third Party Due Diligence Practices (IA/BD) (Intermediate) (Webinar)

April 21, 2020
1:15 PM - 3:15 PM EDT
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In January, the SEC’s Office of Compliance Inspections and Examinations issued a release titled Cybersecurity and Resiliency Observations. The release addressed a number of cybersecurity areas including vendor management. Specifically, the release mentioned the importance of four policy and procedure areas: conducting due diligence, monitoring vendors and contract terms, assessing relationship risks, and assessing vendor information security. FINRA has stated the importance of formal documentation related to the managing of a vendor life cycle from onboarding, to ongoing monitoring, through off-boarding and the disposal of sensitive information. This session will address the compliance challenges faced in overseeing and evaluating third parties.

  • Identify best practices in evaluating third party vendors
  • Review the steps involved in conducting a vendor due diligence review
  • Analyze the vendor lifecycle related to due diligence activities to better understand their support of oversight responsibilities
  • Tim Villano, President and Chief Information Officer, Artemis Global Security, LLC
  • Kevin Turton, Consultant, NRS