About This Course
This panel of FINRA staff and industry members will address the use of third-party service providers and firms’ responsibility for compliance with all applicable laws and security regulations. The session offers examples and suggestions for firms to consider when implementing their everyday supervision and compliance efforts.
After attending this session, you will be able to:
- Compare and contrast the differences between outsourced and vendor arrangements
- Discuss struggles and operational issues faced in the use of such arrangements
- Identify issues for consideration and review during onboarding and ongoing use of outsourced and vendor arrangements
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