What should you expect from your third-party software providers, SaaS Vendors?
The SEC, FINRA and other regulators have increased expectations of RIAs and broker-dealers – with cyber security and disaster recovery top of their list. Increased regulatory scrutiny and the proliferation of hacking attempts on the financial services sector makes the selection and ongoing validation of third-party software vendors increasingly important to your firm.
This content-rich webinar covers the top areas of exposure that RIAs need to be aware of and questions they should ask of all their third-party vendors. Attendees will gain actionable insights, further resources to help manage RIA technology issues and make more confident vendor selections and a familiarity with the SSAE-16.