
Shipping Estimate
USA
- USA
- CAN
- USA
- CAN
Ships within 48 hours · Estimated delivery Jul 7 - Jul 12
For Your Every Summer RSVP, with Code: SUMMER15
Description
BD- Broker-Dealer Third-Party Vendor Management LogThe Broker Dealer Third Party Vendor Management Log serves as an important part of a broker dealers overall compliance program when overseeing third party vendors and managing third party risk management. The customizable Third Party Vendor Management Log includes thirty one separate sections for tracking, monitoring, and managing third party vendors as well as addressing certain regulatory focal points often highlighted during the FINRA broker dealer
The Broker-Dealer Third-Party Vendor Management Log serves as an important part of a broker-dealer’s overall compliance program when overseeing third-party vendors and managing third-party risk management. The customizable Third-Party Vendor Management Log includes thirty-one separate sections for tracking, monitoring, and managing third-party vendors as well as addressing certain regulatory focal points often highlighted during the FINRA broker-dealer examination process. Members also downloaded Broker-Dealer Due Diligence Checklist for Third-Party Service Providers.
Version/Update: V.3/October 12, 2021
Total Page Count/Format: 1/.xlsx (landscape)
Source/Author(s): ConnexienShipping Notes
- Free Standard Shipping on $100+ Orders to the USA.
- Except Preorder products are shipped in 48 hours.
- Delivery to the USA:
- Standard Shipping : 3-10 business days
- If time is of the essence, please consider selecting expedited delivery for faster service.
Exchange/Return Notes
- We offer a 30-day return/exchange service after receiving.
- Final sale items are not eligible for returns or exchanges.
- To process your return/exchange, please contact us at [email protected]
- Please click here for more details>>> Return & Exchange Policy