TPRM Exam Prep: A Guide for Wealth Managers & RIAs

SEC examiners are paying close attention to how wealth managers and RIAs oversee their third-party relationships — and Regulation S-P has raised the bar further.

Whether your next exam is months away or years out, the firms that fare best treat exam readiness as a year-round discipline, not a fire drill.

This guide walks through what examiners look for, how to prepare at every stage of the exam cycle, and how to respond when findings come in — whether you're building your program from the ground up or tightening what you already have.

Download the guide to learn:

• What the SEC expects to see across five key areas of third-party risk management — from how client data flows through your environment to whether your incident response procedures actually work
• How to organize your documentation and TPRM program before, during, and after an exam notification arrives
• How to handle exam findings constructively — and use the deficiency process to strengthen your program