Upcoming ComplianceCasts™

Utilizing Third-Party Service Providers: Getting Due Diligence Right

Broadcast Date: Thursday, Feb 28 at 2pm ET

It’s often not possible or practical for your firm to do all that the business and regulations require. Frequently, firms need to engage third-party service providers to conduct certain activities. However, as the saying goes, you can outsource the activity but not the responsibility. Our ComplianceCast will discuss the basis for service provider due diligence from the inception of a relationship through an ongoing engagement. We’ll explore how to evaluate the risks associated with a service provider’s activities and industry practices for developing a due diligence program that’s appropriate for your firm.

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The Challenges of Building a Global Compliance Program

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing critical business needs and obtaining the necessary resources necessary to manage the program. Trends and thinking on the subject were center stage at the recent CSS London event “Looking at the Year Ahead – Global … Continued

Coming to America – California Adopts GDPR-Like Privacy Regulation

After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s General Data Protection Regulation (GDPR), advisers to U.S. clients will soon be facing similar requirements on the home front. On the heels of the Cambridge Analytica scandal, California enacted the California Consumer Privacy Act of … Continued