ComplianceCast: Advice on Managing Due Diligence

Your firm can outsource an activity to third-party vendors, but it still retains oversight responsibility. This ComplianceCast is designed to review industry practices pertaining to identifying and monitoring service providers. It will also address questions from compliance teams around the U.S. about developing and implementing a due diligence program through an active Q&A roundtable discussion.

Ascendant’s due diligence experts Allison Fraser and Dianna Zentner discuss the following:

  • Creating risk profiles for each service provider
  • Initial due diligence of vendors
  • Methods of monitoring existing of service providers
  • Answers to your due diligence questions.

Download the ComplianceCast by filling out a request form.


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