The New Third-Party Oversight Requirements

Industry best practices to avoid penalties and costly mistakes


Download the free white paper with:

  • Overview and links for all recent OCC and CFPB announcements
  • 14 industry recommendations for compliance
  • Step-by-step compliance solution
  • How to continue working with as many AMCs as you wish
  • How to keep your LOs happy while maintaining compliance
  • How one industry leader is using the solution
  • Additional resources and links to industry events and related news

If you have any questions, call 1-800-434-7260.


Download the TPO guide to best practices

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