On September 15, 2015 The Office of Compliance Inspections and Examinations ("OCIE") issued the 2015 Cybersecurity Examination Initiatives. One of those initiatives relates to how finance companies are conducting due diligence process reviews of their Vendors.
Many firms are not prepared to conduct this type of Due Diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers and outsourced IT firms may not even realize they are subject to this type of scrutiny from their client’s, or even understand how to answer their questions.
Why Should You Attend:
The Target Breach is an example of what can happen when third party vendor management policies and procedures are non-existent or not properly adhered to.
Learn how to manage your firm’s vendors in a realistic manner so that you can utilize their services and protect your firm and clients PII.
Areas Covered in this Webinar:
Who Will Benefit:
Lisa M. Marsden, IACCP, 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 that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
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