Compliance into the Weeds OCC Guidance on 3rd Party Risk Management
Mar 11, 2020
22:10
Compliance into the Weeds is the only weekly podcast which takes a deep dive into a compliance related topic, literally going into the weeds to more fully explore a subject. In this episode we take a deep dive into recent OCC Guidance on managing 3rd party risk.
Some of the highlights include:
- What was the Office of the Comptroller of the Currency, guidance published the on March 5?
- Why is 3rd party risk still a chronic issue?
- What is the role of due diligence?
- What are sustainable business models for 3rd party risk management?
- What are 4th party risks?
- What is Kelly’s Law of 3rd Party Risk Management?
- A short discussion of FINRA’s new bulletin on pandemic risk?
Resources
Matt Kelly blog post, Some Good Guidance on 3rd Party Risk
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