NSCP Webinar: Implementing A Stronger Due Diligence Program

July 23, 2019 @ 11 AM PST/ 2:00 PM EST | Speaker: Tito Pombra, President

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Have you ever wondered if you are asking the right questions on behalf of your clients? Or if this third-party partner is the best option for your firm and your business goals? Do you fully understand their role and responsibilities in the entire process?

We have found that many firms struggle with gauging their level of due diligence and the role compliance plays in the vetting process. This webinar, “Implementing a Stronger Due Diligence Program” aims to provide the next best steps when performing your firm’s due diligence. Our panelists, Tito Pombra (President, Core Compliance) and Melissa Loner (Chief Compliance Officer, Independent Financial Partners) will also take a deeper dive into each of the stages of a comprehensive, effective, and efficient due diligence program.

The panelists will also discuss:

  • An in-depth look at the oversight process of third-party partners
  • Key considerations for implementing diligence processes
  • Important Compliance Steps to ensure due diligence process is comprehensive and addresses the firm’s business goals and client needs

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