Third Party Oversight and Best Practices

Third Party Oversight and Best Practices

Regardless of any delegation of CASS functions to third parties (offshored or outsourced), the firm remains absolutely responsible for their continued compliance with the rules. In order to mitigate any risk of non-compliance by the firm due to some action/inaction of the third party to whom functions have been delegated, the firm must have in place an effective oversight framework which enables the firm to assess and monitor the third party.

This training aims to provide participants with a practical guide to oversight of third parties best practice through worked examples, templates, break-out sessions and case studies.

Benefits of attending:

• Understand the various risk involved with third parties
• Make critical decisions around when to use third parties
• Learn how to embed an effective oversight framework 
• Navigate market complexity
• Improve CASS compliance 
• Acquire new tools, techniques, methods
• Improve confidence through peer networking 

In-house training options

Bespoke - we work with you to develop and deliver bespoke training courses to meet all your objectives. We develop the course and reference materials which can be delivered on a rolling basis or as a unique event, depending on your requirements.

Tailored – If one of our courses already meets the majority of your needs, but requires specific tailoring for a particular group of employees, we can tailor the material and delivery to ensure all the learning outcomes are met.

Standard – your requirements are already met by one of our courses, but you would prefer the course to be run in-house for a number of people.