All vendor due diligence articles
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Premium‘This is where we are now’: Cyber environment calls for continuous monitoring
Securing your organization’s private data when vendors have access to it means managing relationships from beginning to end, panelists at CW’s virtual Cyber Risk and Data Privacy Summit agreed.
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ArticleNew SEC marketing rule offers opportunities, compliance challenges
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
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ArticleFINRA notice outlines key areas for supervising third parties
The Financial Industry Regulatory Authority issued a notice on compliance deficiencies arising from firms’ relationships with vendors culled from examination findings.
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WebcastCPE Webcast: Expert content + third-party risk = enhanced vendor due diligence
Maintaining the status quo with your vendor risk management program is no longer acceptable in today’s ever-changing marketplace as supply chains can drastically change overnight.