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Ships within 48 hours · Estimated delivery Aug 15 - Aug 20
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Description
BD- Due Diligence Checklist for Third-Party Service ProvidersThe updated Due Diligence Checklist for Third Party Service Providers serves as a useful guide as part of a broker dealer overall due diligence review process before engaging with third party vendors. The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in FINRA Regulatory Notice 11 14 in addition to new sections on compliance,
The updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of a broker-dealer overall due diligence review process before engaging with third-party vendors. The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in FINRA Regulatory Notice 11-14 in addition to new sections on compliance, cybersecurity, GDPR, affiliate arrangements and red flags. Members also viewed the Customizable Word Version and the Investment Adviser Due Diligence Checklist for Third-Party Service Providers.
Version/Update: V.2/May 26, 2021
Total Page Count/Format: 7/.pdf (form filler)
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy