Best Practices for Third-Party Vendor Management Compliance

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The Securities and Exchange Commission ("SEC") Division of Examinations ("The Division") has flagged vendor management as one of the seven critical cybersecurity focus areas. As more registered investment adviser ("RIA") firms migrate to cloud-based technology and vendors, proper vendor management and due diligence are becoming more important elements of every investment advisory firm's cybersecurity compliance program.

This complimentary checklist details ten helpful tips to consider when building and reviewing your firm's third-party vendor management compliance program.


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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.