Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle

Accreditation Wreath Icon AL
SKU: SEC072
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE course delves into essential considerations for firms outsourcing activities or functions to third-party providers. Learn from panelists about mitigating vendor risk through robust technology governance programs that cover the entire vendor engagement lifecycle, from onboarding and ongoing due diligence to event response and offboarding.

Topics include:

  • Vendor management and due diligence per Regulatory Notice 21-29 (FINRA's reminder of supervisory obligations related to third-party outsourcing) and feedback from the vendor questionnaire
  • Best practices and tools for initial and ongoing vendor management and due diligence
  • Key considerations for vendor relationships, including bidirectional reporting of cyber events, WORM compliance, testing, and more
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