Join the Discussion: Live Advice on Managing Your Firm’s Due Diligence Process

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 and address your questions about developing and implementing a due diligence program through an active Q&A roundtable discussion. Our panel of veteran due diligence professionals will discuss:

  • 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.

Fill in the form below to download this ComplianceCast

Loading form...

Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Latest Content

Where Are Your Cybersecurity Blindspots with COVID-19?

Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce in the midst of the COVID-19 pandemic. While the availability of VPNs and cloud-based services has enabled firms to continue operating, the paradigm shift to an entire staff working from home has not come without … Continued

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued