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Third-Party Due Diligence Practices

August 20, 2021
1:00 PM - 3:00 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.

This virtual course is being taught as part of the August Investment Adviser Certified Compliance Professional Symposium.

  • 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

Coming soon

For Whom: Designed to increase the professional competence of financial securities professionals with legal, compliance, technology, operations and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group-Internet-Based and Group Live

Pre-requisites for participation: No prerequisites are required.

Advance preparation: None

NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP® CE Credit: 2
Maximum Recommended CA MCLE Credit: 2