Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices 2016

Topics

• Why it is critical to prepare a risk assessment on the third parties?
• Who are third party vendors?
• What those risks could mean for the end-clients, the investors
• An overview of the potential risks a third party vendor may impose on your firm
• Types of questions to ask third party vendors in order to facilitate risk assessment
• Ways to work with the third party vendors to help mitigate the risks

Who should Attend

Attendees from:

• Risk Managers
• Audit and Compliance Personnel
• Chief Operating Officers
• Operations Managers
• Attorneys
• CPA Firms
• Compliance Consulting Firms
• Investment Management/Portfolio Managers
• Client Service Managers
• Outsourced IT Firms/Cyber Security Firms
• Human Resources Personnel in Finance or IT