REGISTER: Educational Seminar- Vendor Management / Code Of Ethics

When:  May 25, 2021 from 2:00 PM to 4:00 PM (ET)

Join us for two 75-minute virtual educational sessions on May 25th

1:00pm- SESSION 1: Maximize Your Vendor Management Program

This session will provide an overview of the necessary steps for an effective vendor management program, covering an array of potential services provided, ranging from sub-advisory services to technology providers to compliance services.  The panel will focus on regulatory expectations throughout the lifecycle of a vendor relationship, including planning, due diligence, negotiation, oversight and termination of the arrangement.

Learning Objectives:

  • Use compliance controls and corporate governance to develop and enhance vendor management programs that manage conflicts of interests as they arise
  • Understand regulatory requirements regarding vendor management and outsourcing (to either third parties and/or affiliated entities) throughout the various stages of vendor engagement
  • Learn about vendor engagements that require specific considerations, such as outsourcing portfolio management services, the use of technology providers, and those driven by client data
  • Discuss obligations that survive the termination of the vendor relationship and “lessons learned” through enforcement and related proceedings
  • Boost your due diligence program with clearly defined structure, policies and procedures, use of checklists, questionnaires, a compliance calendar, and sample RFP questions

2:45pm- SESSION 2: From Theory To Practice: Managing A Robust Code Of Ethics Program

This session will discuss how Compliance and Senior Executives can effectively empower all personnel through a program that incorporates a strong ethical business and compliance culture into the regulated COE requirements. Further, the panel will address various firm-related, employee-related and client-related ethical conflicts.

Learning Objectives:

  • Review COE requirements and compatible management structure for a realistic sense of firmwide compliance value and ownership.
  • Interpose the firm’s culture into the COE through programs designed to illuminate ongoing positive interaction and self-reporting.
  • Address potential ethical conflicts based on a 360-degree approach considering enterprise risks, job functions, clients, and other industry organization COE programs
  • Learn to use case studies to facilitate effective COE training and education
  • Discuss how the teachings of behavioral ethics can enhance an ethics program
*Members: $100

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