Stay ahead of the regulatory curve with this comprehensive webinar focusing on SEC guidelines for managing third-party vendor due diligence. As investment advisory firms increasingly depend on third-party vendors for essential services, the SEC has heightened its expectations for oversight and risk management in this area.
Attendees of this webinar will learn to navigate the complexities of third-party vendor management, from understanding the depth and breadth of due diligence required by the SEC to developing efficient strategies for ongoing vendor evaluation. Furthermore, we'll explore real-world scenarios of regulatory challenges and how to avoid them. This webinar is a powerful tool for investment advisors seeking to solidify their firm's compliance while optimizing vendor relationships
Why Should You Attend:
In a regulatory environment that's becoming increasingly stringent, do you have all the necessary knowledge to manage third-party vendors effectively and in compliance with SEC regulations? The SEC's focus on third-party management has intensified in recent years, with failure to comply leading to severe penalties, increased scrutiny, and reputational damage.
Remember the infamous incidents of data breaches and the resulting hefty fines due to inadequate third-party risk management? You surely wouldn't want your firm to be the next headline. Regulatory oversight isn't just about avoiding penalties - it's about securing your firm's reputation and financial health.
This training session offers you the opportunity to be proactive rather than reactive. We'll help you understand how to approach third-party due diligence and manage your vendors effectively while ensuring compliance with SEC regulations. It's not just about understanding the rule changes; it's about adapting your processes to these changes to safeguard your firm's interests. So, are you ready to arm yourself with the necessary insights to enhance your firm's compliance posture and manage third-party risk effectively?
Areas Covered in the Webinar:
Who Will Benefit:
Lisa M. Marsden, IACCP ®, is the President and Founder of Coulter Strategic Services, LLC. Coulter Strategic Services, LLC provides Financial professionals and compliance consulting firms with compliance and project management services and customized compliance training.
Coulter Strategic Services, LLC also provides financial regulatory compliance education to advisory firms, industry conferences, webinars and at the collegiate level for those seeking financial degrees.
Prior to starting Coulter Strategic Services, LLC, Lisa was a partner and member of the C-Suite at Financial Advisory Firms in Florida. She holds a degree in computer programming from Keiser University and the Investment Advisor Certified Compliance Professional Designation and is a CFA Investment Foundations Certificate Holder.
Lisa proudly served as the 2017 President of the Financial Planners Association of South Florida and was a Board member for several years. Lisa is currently a member of the FPA of South Florida, CFA Society of South Florida, Florida Securities Dealer Association and the National Society of Compliance Professionals.
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