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
 |
Branan Cooper Chief Risk Officer Venminder |
 |
Mike Morris Partner Porter Keadle Moore |
 |
Mary Beth Marchione Systems Senior Manager Porter Keadle Moore |
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
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.
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
|
Branan Cooper Chief Risk Officer Venminder |
|
Mike Morris Partner Porter Keadle Moore |
|
Mary Beth Marchione Systems Senior Manager Porter Keadle Moore |
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
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.
