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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)
Source/Author(s): ConnexienShips within 48 hours · Estimated delivery Jul 8 - Jul 13
US$40
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