SEC Due Diligence Demands -



The SEC requires that you conduct due diligence on your service providers to protect yourself from exposure to risk and your organization from potential regulatory fines. This webinar was hosted with Jessica Ruby of David Landau & Associates, LLC on Oct 27th.

 You can download a full copy of the slides from this webinar.


Full video transcript available below:

Thank you, and hello everyone. I'm Jessica, as mentioned. Today, I'm going to be talking to you about conducting a due diligence review on service providers. SEC guidance recommends that investment advisors conduct ongoing due diligence on vendors. In addition, the SEC proposed a rule making in June, on business continuity plans that would make this a regulatory requirement. The standard review, should confirm that service providers have adequate procedures in place with respect to protecting confidential information, disaster recovery plans, business continuity plans, as well as other factors, such as the vendors reputation, any conflicts of interest between the advisor and the vendor, and the value of that the advisors clients are getting for this particular service provider. Today, we'll discuss best practices on how to identify key service providers and conduct a review
This webinar was co-hosted with DLA. To learn more visit

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