You Can't Outsource the Risk: Reg S-P and Vendor Oversight

In this episode, you will learn

1. Tracy Soehle's Background and Role at the Investment Advisors Association
   1:39
   Tracy Soehle's Background and Role at the Investment Advisors Association
2. The Biggest Changes in Amended Reg S-P
   4:46
   The Biggest Changes in Amended Reg S-P
3. The 30-Day Notification Clock: Operational Challenges and How to Get Ahead of Them
   7:20
   The 30-Day Notification Clock: Operational Challenges and How to Get Ahead of Them
4. What "Reasonable Assurances" From Vendors Actually Means — and What It Doesn't
   11:45
   What "Reasonable Assurances" From Vendors Actually Means — and What It Doesn't
5. You Can't Outsource the Risk: Where Liability Stays With the Firm
   18:55
   You Can't Outsource the Risk: Where Liability Stays With the Firm
6. Data Mapping as the Foundation of Your Entire Compliance Program
   22:22
   Data Mapping as the Foundation of Your Entire Compliance Program
7. What Examiners Will Ask For and What Strong Documentation Looks Like
   28:05
   What Examiners Will Ask For and What Strong Documentation Looks Like