The Broker-Dealer Third-Party Vendor Management Log serves as an important part of a broker-dealer’s overall compliance program when overseeing third-party vendors and managing third-party risk management.  The customizable Third-Party Vendor Management Log includes thirty-one separate sections for tracking, monitoring, and managing third-party vendors as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process.  Members also downloaded Broker-Dealer Due Diligence Checklist for Third-Party Service Providers.

Version/Update: V.3/October 12, 2021

Total Page Count/Format: 1/.xlsx (landscape)