You know you have vendors. But do you know which ones regulators care about — and why the answer might be broader than you think?
For RIAs and wealth management firms, managing third-party relationships isn't just a best practice — it's an expectation. Reg S-P puts certain service providers in the spotlight, but your obligations don't stop there. The firms, platforms, and partners woven into your day-to-day operations all carry risk, whether compliance has formally named them or not.
If your firm is working off spreadsheets, tracking vendors informally, or just starting to think about what a vendor management program should look like, you're not alone — and this webinar is built for you.
This session cuts through the complexity and gives you a practical, approachable foundation for managing third-party relationships the right way.
You'll learn:
- What counts as a vendor or service provider in the wealth management space — and why the definition matters more than you think
- How Reg S-P fits into the bigger picture of third-party risk management, and what it doesn't cover
- How to take stock of the third-party relationships your firm already has — and how to prioritize
- A plain-language walkthrough of the third-party lifecycle
- Practical first steps for building or strengthening your vendor oversight program, no matter where you're starting from
Whether you're building your vendor management program from scratch or trying to make sense of what you already have, this webinar gives you a realistic, actionable starting point that works for firms of all sizes.
