BD- Due Diligence Checklist for Third-Party Service Providers

The customizable updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of a broker-dealer’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 FINRA Regulatory Notice 11-14 in addition to new sections on compliance, cybersecurity, GDPR, affiliate arrangements and red flags. Members also viewed the PDF Form Filler Version and the separate Investment Adviser 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