Regulatory Compliance Association Reviews

Vendor Oversight and Risk Management Programs – Emerging Issues™

Practice Edge 02

Date: August 12, 2015
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

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This session will discuss the various stages of managing risks with vendors and third parties. The complex nature of today’s business means more relationships with external vendors, suppliers and agents outside the company. These relationships present inherent reputational, compliance, and financial risks making third party due diligence and vendor risk management a must.
Companies conducting business with third parties should establish a comprehensive global due diligence program to proactively screen partners throughout their supply chain and continuously monitor these partners throughout the life of their engagement with the organization.

Students will master the following at the conclusion of this session:

  • Comprehend and understand the Stages of Vendor Risk Management
  • Develop and create a practical approach to initiating a compliant risk management program for your firm
  • Develop and appreciate how to assess a compliant vendor risk management

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Daniel Bender, Executive Director, Financial Services Advisory, Ernst & Young

Guest Lecturers:

Steven Felsenthal, JD, LLM, General Counsel &Chief Compliance Officer, Principal, Millburn Ridgefield
Bruce Kahne, JD, Partner, & General Counsel, Chief Compliance Officer, Entrust and Entrust Securities
John Roth,JD, LLM, General Counsel & Chief Compliance Officer, Venor Capital Management
Josh Rozenberg, CPA, Assistant Controller, Visium Asset Management

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