Ashland Partners’ Vendor Due Diligence services are designed to help CCOs meet regulatory and institutional client expectations. Ashland Partners’ Vendor Due Diligence services can be tailored to any firm.
Vendor Due Diligence
Our due diligence services are designed to help compliance officers meet regulatory requirements and institutional client expectations. The SEC, FINRA and other regulatory bodies require documentation of risk assessments and relative due diligence on all third-party vendors.
We begin the due diligence process by completing a full inventory of vendors and conducting an analysis of the types of risk each poses to your data and operations. We then help you answer a wide range of questions, such as:
- What questions do we need to ask our vendors, and to which vendors?
- How do we effectively manage the risks identified?
- How can we ensure our vendors are complying with our regulatory needs and not exposing us to unnecessary vulnerabilities?
At Ashland Partners, our efficient service, documented process and quality approach to due diligence helps ensure your organization is minimizing risks and meeting all regulatory requirements.
For further information or to discuss how we can help you, please contact us.