Vendor Due Diligence · RIA Operators

Vendor Due Diligence

Hi all, I love how much discussion there is around advisor tech in this group since that is an area where the RIA I work for is woefully behind! What I'm wondering now is what kind of due diligence (for compliance purposes) do you perform initially for new technology tools? Seems like the SEC is targeting vendor due diligence next, so we are trying to stay ahead of the curve and beef up our protocols.

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