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Growing Scope of Vendor Management: Business Continuity, Cyber Security, Contract Negotiation & More
- Regulations
- Regulatory Cyber Security Examination Initiatives
- Summary of the SEC Cyber Security Exam Initiative Phase Two
- Who are Third Party Vendors
- Vulnerabilities Using Third Party Vendors
- Types of Potential Risks Third Party Vendors may Impose on your Firm
- The Risks to the Investors
- Mitigate the Risks with the Third Party Vendors
- Questions to ask the Third Party Vendors
- Critical Components of The Third Party Risk Assessment
- Sample Risk Matrix
- Risk Rating Examples
- Documentation Practices, Monitoring the Process
- Creating and Maintaining the Policy
- Onboarding New Vendors
- Educating all Parties Involved
- CASE STUDIES
Overview of the webinar
A Financial Institution owes the clients a fiduciary duty. Part of that Fiduciary duty includes protecting the client's personal identifiable information and keeping their assets protected. Financial firms rely heavily on outside third party vendors as they should. It is the firm's responsibility to conduct a complete due diligence on the third party to determine if using the third party will benefit the client, part of that includes a deep dive into the third parties cybersecurity practices.
Who should attend?
- Operations Managers
- Chief Compliance Officers
- Chief Executive Officers
- Chief Operating Officers
- Chief Information Security Officers
- Financial Advisors
- Financial Planners
- Investment Managers
- Portfolio Managers
- IT Personnel
- Risk Managers
Why should you attend?
Regulatory oversight and scrutiny of financial institutions' third-party risk management practices have increased considerably. There is growing pressure on the risk management structure at every institution. Whether it is heightened focus on cybersecurity, the need for more rigorous monitoring or the basics of good vendor management, how can a responsible compliance manager keep up? This webinar will provide an overview of the regulations, real-life examiner expectations and best practices from a vendor management perspective.
Faculty - Ms.Lisa Marsden
Lisa M. Marsden 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 creating Coulter Strategic Services, Ms Marsden was a shareholder and member of the C-Suite for Financial Advisors in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms Marsden has a degree in Computer Programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She also held positions in the Banking Trust Industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms Marsden has moderated regulator panels and conducted many webinars related to compliance training.