Latest Blog Articles

Read the Latest Blog Posts
Knowledge. Useful. Quick. 

Stay up-to-date by reading useful articles from industry thought leaders who tackle common challenges and discuss current or proposed industry regulations.

  • May 2025 Vendor Management News

    5 days ago
    Stay up to date on the latest vendor risk management news happening this month. Check out the articles below.

  • How to Automate Your Vendor Risk Management Program

    6 days ago
    As vendor inventories grow, organizations face increasing workloads. More vendors mean more assessments, more documentation, and more time-consuming manual tasks. This can lead to delays, errors, and other inefficiencies.

  • How RIAs Can Protect Client Data from Third-Party Breaches

    7 days ago
    As a registered investment advisor (RIA), you’re entrusted with sensitive client data, including personally identifiable information (PII), financial account details, and investment portfolios. When this data is compromised, RIAs face regulatory scrutiny, reputational damage, and broken client trust.

  • How to Manage Small Business Vendor Relationships

    13 days ago
    Partnering with small businesses has many advantages. Their innovation, agility, and specialized expertise can give your organization a competitive edge.

  • Broker-Dealers Third-Party Risk Management Regulatory Requirements

    20 days ago
    Broker-dealers must comply with strict standards when servicing their clients, according to agencies like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These standards cover key areas, such as recommending securities transactions or investment strategies, safeguarding client information, and preventing disruptions to critical operations. Third-party risk management (TPRM) is another important standard for broker-dealers in recent years. Regulations on data breach notifications , cybersecurity, and business continuity planning have all addressed the need for broker-dealers to implement TPRM practices within their operations.