$75.00
See if it's really the one
Search with this product to compare it, find similar styles, or turn up something better before deciding.
The updated Due Diligence Checklist for Third-Party Service Providers serves as a useful guide as part of a broker-dealer 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 Customizable Word Version and the Investment Adviser Due Diligence Checklist for Third-Party Service Providers. Version/Update: V.2/May 26, 2021 Total Page Count/Format: 7/.pdf (form filler) Source/Author(s): Connexien
Have a question about this?
We currently ship within the US, with more countries coming soon.
Final cost and dates are confirmed at checkout.
🇺🇸 Ship from USA · On Agora since 2025
$75.00