IA- Due Diligence Checklist for Third-Party Service Providers  NY Office of the Attorney General Library Members also downloaded Broker-Dealer Quarterly

Members also downloaded Broker-Dealer Quarterly Compliance Review Checklist and Broker-Dealer Monthly CRD Forms & Filings Review Checklist

The updated Broker-Dealer Best Execution Review Checklist is a useful tool and guide when meeting the requirements for conducting regular and rigorous reviews as part of a broker-dealer’s obligation to obtain best execution when handling customer orders

or issuers of securities to terminate the registration of an individual in the appropriate jurisdictions and/or self-regulatory organizations ("SROs")

Total Page Count: 1

2020 that requires registered broker-dealers and investment advisers to provide a brief customer relationship summary (Form CRS) to retail investors

IA- Due Diligence Checklist for Third-Party Service Providers  NY Office of the Attorney General Library Members also downloaded Broker-Dealer QuarterlyThe customizable updated Due Diligence Checklist for Third Party Service Providers serves as a useful guide as part of an Investment Advisers overall due diligence review process before engaging with third party vendors. The updated Due Diligence Checklist is designed to address keys areas of interest regarding outsourcing considerations as well as select regulatory focal points addressed in SEC Exam Priorities Reports and Risk Alerts in addition to