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"A Comprehensive TPRM Checklist for Modern Wealth Management Firms"

Wealth management firms rely on third-party vendors, creating significant risk. This essential checklist provides actionable steps to build or strengthen your TPRM program, ensuring compliance, protecting client data, and upholding fiduciary duties.

From fintech platforms to compliance consultants, wealth managers increasingly rely on a wide range of third-party vendors. While essential for operations, these partnerships introduce complex risks that can impact client trust, data security, and regulatory compliance. 

An effective Third-Party Risk Management (TPRM) program is no longer optional—it's a critical component of your fiduciary duty. 

This comprehensive checklist breaks down the entire TPRM lifecycle into clear, actionable steps for firms of all sizes to support smarter oversight.

Download this checklist and learn how to:

• Define and document your TPRM program, policy, and procedures
• Clarify roles and responsibilities for effective vendor oversight
• Master the TPRM lifecycle: onboarding, ongoing monitoring, and offboarding
• Establish reporting metrics to track program performance and ensure compliance

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