Brokerage & Securities
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SEC expects you to have a proper vendor management program.
To the SEC, third party risk management is a vital part of the compliance framework they expect to see in their regulated institutions and, since third parties can represent a very wide swath of activities, the SEC claims broad authority.
The SEC is fairly prescriptive in how it suggests that vendors are managed as we have seen in the risk alerts and, while they don’t provide a straightforward simple definition of a vendor or clarify who should be included or excluded in the current examination priorities report, they do offer broad and informative guidance on selecting, managing and regulating vendor activities through interpreting their own vendor communication plan.
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