Transcription of The Future of Outsourcing and Vendor Management Tuesday ...
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The Future of Outsourcing and Vendor Management Tuesday ...
2016 Financial Industry Regulatory Authority, Inc. All rights reserved. 1 The Future of Outsourcing and Vendor Management Tuesday , May 24 1:45 2:45 Outsourcing is an activity or function that a third party service provider does to assist an organization. It is important to note, that it does not relieve firms of their ultimate responsibility for compliance with all applicable laws and security regulations. During this session FINRA staff and industry practitioners will discuss policies, procedures and resources to effective analyze new vendors and how to oversee the provider and their services. Moderator: Joseph Sheirer District Director FINRA New Jersey District Office Panelists: Allan Goldstein Chief Financial Officer, Chief Operating Officer and Chief Compliance Officer Trade Informatics LLC Demetrios Koutros Surveillance Director FINRA Member Regulation, Office of Risk Oversight and Operational Regulation Douglas Wright Chief Compliance Officer and AML Compliance Officer The Investment Center, Inc.
Joseph J. Sheirer is the Director of FINRA’s New Jersey District Office. Mr. oversees the Sheirer Surveillance, Cycle Examination, and Cause Investigation Programs for member firms and associated persons located in New Jersey and New York (outside of the five boroughs of New York City and Long
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