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Vendor Due Diligence
(Presented by Andy Zavoina and Don Pape)
The use of vendors, third parties, is a necessity today, to deliver the complex financial services offered by the industry. There are benefits and risks associated with third party relationships. You must manage them both and complete a due diligence review as a part of this process.   | WEBINAR TIME:
11:30AM - 1:30PM PT
12:30PM - 2:30PM MT
1:30PM - 3:30PM CT
2:30PM - 4:30PM ET |
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In this two-hour webinar you will review the strategic planning and risk assessment process.
We'll review the components of the due diligence process as you select vendors to service your needs and those of your customers.
Due diligence is an ongoing requirement so we'll discuss practical elements in the process of oversight and monitoring.
Completing a due diligence review focuses on evaluating the vendor; assessing their ability to meet your expectations and needs, meeting minimum standards set by the regulatory agencies and more. Will they grow with you and adapt to new rules and requirements? Selecting a vendor is an expensive proposition. Changing them can also be expensive. It is important to get it right, and keep it that way.
Management cannot rely solely on the third-party's assertions or representations when selecting the best vendor to service its customers and stockholders. Before entering into a major relationship with a third party, you should establish a comprehensive program for managing these relationships. Your program should be documented and include front-end management planning, appropriate due diligence when selecting a vendor, and performance monitoring. These requirements go beyond broker-dealer relationships and technology. Learn why, and what is entailed.
This webinar will review what basic requirements are needed, resources available to you and practical application of the principles discussed, and often expected by your regulator and owners.
About the Speakers:
Donald A. Pape is of counsel to the Oklahoma City law firm, Phillips McFall McCaffrey McVay & Murrah, P.C. and primarily practices banking law and regulation, corporate and securities law with emphasis in mergers and acquisitions. He was born on September 1, 1945 in Birmingham, Alabama. He received a Bachelor of Arts degree in Journalism in 1967 and a Juris Doctorate degree in 1973 from the University of Oklahoma. From 1967 until 1971, he served in the United States Air Force, and was discharged with the rank of Captain.
Mr. Pape is a member of the Cleveland County, Oklahoma County, the Oklahoma and American Bar Associations. He has also been admitted to practice before the United States Supreme Court.
In 1988, he was a founding shareholder and counsel to Republic Bank of Norman, in the acquisition of the assets of the failed Republic National Bank, an $18 million commercial bank from the FDIC. Since that time, Republic Bank & Trust, Norman, Oklahoma has grown to $225 million in total assets. Pape has been Chairman of the Board of Directors since 1990.
In 1995, he was a founding shareholder and counsel of Capital West Securities, Inc., an Oklahoma City broker dealer, which is a current member of the NASD.
He served as a member of the Article 8 Legislative Review Subcommittee of the Oklahoma Bar Association's Financial Institutions and Commercial Law section of the Uniform Commercial Code Committee; He is also a member of the Oklahoma Banking Commissioner's Banking Code Review Committee. While on the Code Review Committee, he authored several of the revised parts of the Oklahoma Banking Code of 1998.
He currently serves as Vice-Chair for Policy on the Banker's Advisory Board of the US Conference of State Bank Supervisors.
Mr. Andy Zavoina, CRCM, is a consultant with the Glia Group, best known for its involvement with BankersOnline.com.
Andy has been in finance and banking for 22 years. Over 20 years were with a holding company with two Central Texas community banks that had $534 million in assets, 89 branches spanning Texas and nearly 500 ATMs. After starting in loan workouts, Mr. Zavoina has been a consumer, commercial and real estate lender and managed those departments as well as being the banks first Webmaster. He was responsible for compliance- management, -auditing, and -training for both banks.
Andy is a past Chairman of the American Bankers Association's Compliance Executive Committee. He was the 2003 recipient of the American Bankers Association's Distinguished Service Award for his involvement and accomplishments in the field of regulatory compliance management. He currently serves on the Editorial Advisory Board for the ABA's Compliance Magazine, Compliance Action magazine, is a member of the ABA's Compliance School Board and is a BankersOnline Guru. He also served on the Texas Bankers Association's Compliance Committee.
He is a graduate of the ABA National Commercial Lending School, National Compliance and National Graduate Compliance School and is a Certified Regulatory Compliance Manager with the Institute of Certified Bankers. He has written numerous articles and lectured on compliance, the use of the Internet and technology as a tool, as well as compliance in cyberspace to local, state and national associations. Internet policies and other compliance related programs are made available on his personal Web site.
More information...
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888 229-8872