Sample WSP/CoE Section – Service Provider – Due Diligence

Description

This WSP/CoE – Service Provider – Due Diligence is a sample section of an investment adviser compliance manual which describes the due diligence process when an investment adviser utilizes a service provider which will have access to client information.

This policy and procedure section addresses initial and ongoing due diligence including specific issues related to the following topics: Data Access, Control and Confidentiality; Security Controls, Encryption & Authentication; Backups, Continuity & Disaster Recovery; Operational Stability & Security Testing; and Secure Disposal.

Initially posted in December 2025. Included with Bronze, Silver, Gold, Platinum & Titanium Packages through our Knowledge Base.