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"Safeguarding Your Firm: What Wealth Management Firms Need in a Third-Party Risk Management (TPRM) Solution"

Wealth management firms rely on vendor relationships to unlock performance and growth, but they also introduce risk that can critically expose the organization. This guide details what your firm needs in a TPRM solution to protect your clients and meet increasing regulatory demands.

Regulators like the SEC are increasing scrutiny on how wealth management firms manage third-party risk. When something goes wrong, it’s your firm — not the vendor — that clients and regulators hold accountable. You risk fines, operational disruptions, and severe reputational harm that erodes client trust.

That’s why a structured, repeatable approach to third-party vendor management is essential to protect your firm, your clients, your reputation, and your bottom line. 

Download now, and you'll learn:

• The top 10 TPRM challenges for wealth management firms
• What regulators expect from TPRM
• Key capabilities to look for in a TPRM solution
• Essential questions to ask when evaluating TPRM vendors

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