The SEC’s push for ongoing monitoring of data vendors

Brittany Thomas, Senior Regulatory Analyst (New York)

Neudata Sentry
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Many buyside firms naturally adopt the policy of diligencing vendors during the onboarding phases and at annual renewals. Unfortunately, meaningful vendor risks (e.g., regulatory enforcement, litigation, cybersecurity breaches, etc.) are unlikely to occur with a regular cadence, as we described earlier this year.