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There's ever increasing focus the SEC and expectations by your board around vendor risk to ensure your company maintains an effective third party management program.

Join us and Porter Keadle Moore (PKM) for our third party risk management bootcamp for the securities industry where we'll show you “how” to accomplish some of the most challenging vendor management tasks. 

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DAY ONE
July 17, 2018

1pm-2pm ET

An Auditor's Perspective in Third Party Risk Management
We'll review common mistakes made by advisers as well as practical tips for solid third party risk management practices from an auditor’s perspective. Starting with which vendors really need to be reviewed, all the way through the documentation piece to discuss the most prevalent issues we're seeing in today’s environment. We'll also discuss observations from the Office of Compliance Inspections and Examinations (OCIE).
By Mike Morris, PKM

2pm-3pm ET

Vendor Risk Assessment Workshop
We'll walk you through a risk assessment questionnaire and guide you in how to think about your answers.
By Branan Cooper, Venminder


DAY TWO
July 18, 2018

1pm-2pm ET

Critical Vendor Workshop
Learn the process of how to clearly define and identify all of your critical vendors.
By Branan Cooper, Venminder

2pm-3pm ET

Defining Proper Vendor Due Diligence Requirements 
Learn what the regulatory guidance calls for in due diligence, the common pitfalls of document gathering, best practices in creating a risk-based program, misconceptions and how to clear the “we’ve never been asked this before” hurdle.
By Branan Cooper, Venminder


DAY THREE
July 19, 2018

1pm-2pm ET

Writing Effective Third Party Risk Management Policy and Program Documents
Your Policy is your playbook that informs everyone in the organization of your plan to address third party risk. Your Program supports your Policy. During this session, we'll take you through the key items you need to know in creating one of your own.
By Branan Cooper, Venminder

2pm-3pm ET

Understanding and Dissecting a Vendor SOC Audit Report 
We'll walk you through the key components in SOC audit reports and the impact they have on your company. By the end of this discussion, you'll know how to approach the review of a SOC report including identifying key systems described within the report, control considerations and evaluating the risk of exception items. 
By Mary Beth Marchione, PKM



Thank you to our event partner

PKM Logo.png

SPEAKERS
Branan Cooper Venminder Branan Cooper
Chief Risk Officer
Venminder
Morris Mike PKM Mike Morris
Partner
Porter Keadle Moore
Mary Beth Marchione PKM Mary Beth Marchione
Systems Senior Manager
Porter Keadle Moore
CPE CREDITS ELIGIBILITYNASBA_CPERegistry_logo_blue.jpg


Each session was eligible for 1 CPE Credit. Up to 6 CPE Credits could be earned for participating in the entire LIVE event. CPE Credits will be issued upon completion of all polling questions and the post-event survey and offered within 5-7 business days.

Sponsorship Identification Number: 140591

INFORMATION


Field of Study: Specialized Knowledge

Each Program Level: Basic

Prerequisites: None

Who Shoud Attend: CEOs, CFOs, Compliance Directors, Risk Directors, BOD, Vendor Management, CPAs from securities firms, banks and asset management companies alike

Advanced Preparation:
 None

Delivery Method: 
Group Internet Based

Refunds:
 This is a free event.

Cancellations:
 In the event that this session would need to be cancelled, you will be personally contacted and registered for the rescheduled event.

Concerns: 
For more information regarding administrative policies such as complaints, please contact our offices at 270-506-5140.

DAY ONE
July 17, 2018

1pm-2pm ET

An Auditor's Perspective in Third Party Risk Management
We'll review common mistakes made by advisers as well as practical tips for solid third party risk management practices from an auditor’s perspective. Starting with which vendors really need to be reviewed, all the way through the documentation piece to discuss the most prevalent issues we're seeing in today’s environment. We'll also discuss observations from the Office of Compliance Inspections and Examinations (OCIE).
By Mike Morris, PKM

2pm-3pm ET

Vendor Risk Assessment Workshop
We'll walk you through a risk assessment questionnaire and guide you in how to think about your answers.
By Branan Cooper, Venminder


DAY TWO
July 18, 2018

1pm-2pm ET

Critical Vendor Workshop
Learn the process of how to clearly define and identify all of your critical vendors.
By Branan Cooper, Venminder

2pm-3pm ET

Defining Proper Vendor Due Diligence Requirements 
Learn what the regulatory guidance calls for in due diligence, the common pitfalls of document gathering, best practices in creating a risk-based program, misconceptions and how to clear the “we’ve never been asked this before” hurdle.
By Branan Cooper, Venminder


DAY THREE
July 19, 2018

1pm-2pm ET

Writing Effective Third Party Risk Management Policy and Program Documents
Your Policy is your playbook that informs everyone in the organization of your plan to address third party risk. Your Program supports your Policy. During this session, we'll take you through the key items you need to know in creating one of your own.
By Branan Cooper, Venminder

2pm-3pm ET

Understanding and Dissecting a Vendor SOC Audit Report 
We'll walk you through the key components in SOC audit reports and the impact they have on your company. By the end of this discussion, you'll know how to approach the review of a SOC report including identifying key systems described within the report, control considerations and evaluating the risk of exception items. 
By Mary Beth Marchione, PKM



Thank you to our event partner

PKM Logo.png

SPEAKERS
Branan Cooper Venminder Branan Cooper
Chief Risk Officer
Venminder
Morris Mike PKM Mike Morris
Partner
Porter Keadle Moore
Mary Beth Marchione PKM Mary Beth Marchione
Systems Senior Manager
Porter Keadle Moore
CPE CREDITS ELIGIBILITYNASBA_CPERegistry_logo_blue.jpg


Each session was eligible for 1 CPE Credit. Up to 6 CPE Credits could be earned for participating in the entire LIVE event. CPE Credits will be issued upon completion of all polling questions and the post-event survey and offered within 5-7 business days.

Sponsorship Identification Number: 140591

INFORMATION


Field of Study: Specialized Knowledge

Each Program Level: Basic

Prerequisites: None

Who Shoud Attend: CEOs, CFOs, Compliance Directors, Risk Directors, BOD, Vendor Management, CPAs from securities firms, banks and asset management companies alike

Advanced Preparation:
 None

Delivery Method: 
Group Internet Based

Refunds:
 This is a free event.

Cancellations:
 In the event that this session would need to be cancelled, you will be personally contacted and registered for the rescheduled event.

Concerns: 
For more information regarding administrative policies such as complaints, please contact our offices at 270-506-5140.