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Ships within 48 hours · Estimated delivery Aug 31 - Sep 5
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Description
IA- Due Diligence Checklist for Third-Party Service ProvidersThe customizable updated Due Diligence Checklist for Third Party Service Providers serves as a useful guide as part of an Investment Advisers overall due diligence review process before engaging with third party vendors. The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in SEC Exam Priorities Reports and Risk Alerts in addition to
The customizable updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of an Investment Adviser’s overall due diligence review process before engaging with third-party vendors. The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in SEC Exam Priorities Reports and Risk Alerts in addition to new sections on compliance, cybersecurity, GDPR, affiliate arrangements and red flags. Members also viewed the separate customizable Broker-Dealer Due Diligence Checklist for Third-Party Service Providers.
Version/Update: V.2/May 26, 2021
Total Page Count/Format: 7/.docx
Source/Author(s): Connexien
Shipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy