About This Course
While outsourcing is an activity or function that a third-party service provider performs to assist an organization, an outsourcing arrangement does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this CLE session, FINRA staff and industry members address the use of third-party service providers and firms’ responsibility for complying with all applicable laws and security regulations. Panelists also discuss policies, procedures, and resources to effectively analyze new and existing vendors, and how to oversee third-party providers and their services.