Third Party Vendor Risk Assessment for Financial Firms - Rules, Regulations and Best Practices 2017

Topics

• Determination of the third parties
• Rules, regulations and best practices concerning third party risk assessment
• Best practices for monitoring the progress of the assessment
• The questions to ask third parties
• Educating existing third party vendors on why this type of due diligence is being conducted
• Suggestions on the documentation of the assessment
• How to select a background firm and audit your current screening practices
• Creating policies for onboarding new third party vendors

Who should Attend

• 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