Due Diligence and Ongoing Monitoring

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  • 1.  Not in Scope Vendors

    This message was posted by a user wishing to remain anonymous
    Posted 14 days ago
    This message was posted by a user wishing to remain anonymous

    Is anyone adding vendors like Amazon and Office Depot to their "Not in Scope" list? 

    For those vendors on your "Not in Scope" list:

    1. How are they being monitored?  
    2. Are you doing a review (Insert timeframe) to determine if they are going to stay on this list? 
    3. How are you keeping track of them - included in your VM program but clearly marked as "Not in Scope"?  Keeping an excel document? 

    We are working on changing our policy to have a "Not in Scope" section and wanted feedback on how other banks are doing this process.  

    Potential examples are:
    • Customers
    • Employees
    • Investors
    • Government entities
    • Public utilities
    • Sponsorships or donations
    • Vendors covered under travel and expense policies (hotels, airlines, shuttle bus, etc.)
    • Media subscriptions
    • Professional membership dues and conference fees
    • Payees (Board members, legal settlements, etc.)