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

Lisa M. Marsden, IACCP, is Keynote speaker at ComplianceKey. She 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 operatio........


This training program will examine who are third party vendors and analyze why it is critical to prepare a risk assessment for third parties. The course will also offer an overview of the potential risks a third party vendor may impose on your firm.

Why should you attend this webinar?

To gain an advantage in the ever-evolving regulatory landscape of the financial services industry. 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 financial firms are conducting due diligence 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 clients or even understand how to answer their questions. With cyber security and privacy Issues being an on-going area of concern for all areas of finance, the third party vendor and risk assessment will be a focus of regulatory exams as well as a significant business process for years to come.

Areas Covered in the Session:

Who can Benefit:

Financial Advisors, Financial Services Personnel, Auditors, Regulatory Consultants, Financial Planners, Insurance, CPA, Accountants, Securities Attorneys, Private Equity, Operations Managers, Client Service Managers, Chief Compliance Officers, Compliance Officers, Compliance Analysts.

Webinar Id: CIFLT007

Training Options:

Duration: 60 mins

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 Recorded: [Six month unlimited access]

 $167 (Single Attendee)  $599 (Unlimited Attendee)

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