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Aug 2016


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Third Party Vendor Risk Assessment for Financial Firms - By Compliance Global Inc.

Online Event



On September 15, 2015 The Office of Compliance Inspections and Examinations ("OCIE") issued the 2015 Cybersecurity Examination Initiatives. One of those initiatives relates to how finance companies are conducting due diligence process reviews of their Vendors.

Many firms are not prepared to conduct this type of Due Diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers and outsourced IT firms may not even realize they are subject to this type of scrutiny from their client’s, or even understand how to answer their questions.

Why Should You Attend:

The Target Breach is an example of what can happen when third party vendor management policies and procedures are non-existent or not properly adhered to.

Learn how to manage your firm’s vendors in a realistic manner so that you can utilize their services and protect your firm and clients PII.

Areas Covered in this Webinar:

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

Learning Objectives:

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

Who Will Benefit:

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

Speaker Profile:

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.

Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.

Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

For more detail please click on this below link:

Toll Free: +1-844-746-4244
Tel: +1-516-900-5515

Fax: +1-516-900-5510




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