US Financial Services IT Outsourcing Regulations

Our guide provides an overview of the US financial services regulations firms must comply with for outsourcing arrangements.

Download the guide and discover how to:

Comply with financial services regulations.
Assess third-party risk of technology outsourcing service providers.
Maintain & test business continuity and exit plans for critical services.
Implement software escrow to ensure access to the software source code under specific conditions.

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Financial services regulations covered within the guide

OSFI (Canada only)

Federal Reserve

FFIEC

Outsourcing Technology Services & IT Examination handbooks.

OCC

Third-Party Relationships: Risk Management Guidance.

FINRA SEC Rules 17a-4

The SEC books and records rule 17a-4.

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