Vendor Management: Due Diligence and Oversight


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About This Course

During this session FINRA staff and industry practitioners walk through various important considerations when choosing new vendors. Panelists discuss finding a technical solution that is a good fit for your firm, tips on performing an efficient due diligence review, contract issues, and advice on implementing the new software.

After attending this session, you will be able to:

  • Understand the limitations and risks of technology to find the right solution for your business needs
  • Develop a full list of both internal and external vendors and understand your firms responsibilities when relying on a parent company or other affiliates to perform certain functions
  • Identify which areas/departments should be involved in due diligence reviews and determine the frequency for ongoing monitoring.
  • Hear about effective practices for keeping your due diligence program fresh and having a process to address deficiencies
  • Discuss regulatory considerations
  • Effective practices for communicating expectations

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