As registered investment adviser ("RIA") firms become increasingly reliant on third-party vendors to manage internal operations, it is critical that firms are conducting thorough due-diligence during the selection process. Not only does this address a key regulatory focus area, but mitigates the risk of exposing your firm's non-public information ("NPI").
To help your firm get started, we created this complimentary checklist outlining 10 steps to take when selecting a third-party vendor.
Contact us if you any questions about our cybersecurity solution or compliance software.
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.