Investment Adviser Third-Party Vendor Management Log

The Investment Adviser Third-Party Vendor Management Log serves as an important part of an investment adviser’s overall compliance program when overseeing third-party vendors and managing third-party risk management.  The customizable Third-Party Vendor Management Log includes thirty-one separate sections for tracking, monitoring, and managing third-party vendors as well as addressing certain regulatory focal points often highlighted during the investment adviser examination process.

Version/Update: V.3/October 12, 2021

Total Page Count/Format: 1/.xlsx (landscape)

Source/Author(s): Connexien