Data Governance and
Vendor
Due Diligence
– Made Easy
Data Governance And Vendor Due Diligence – Made Easy
Vendor Security
Smartria Governance’s Vendor Security is about more than just automated due diligence of your selected vendors.
- IDENTIFY – Identify the vendors used across your firm and within your branch offices.
- EVALUATE – Evaluate risks based on vendors’ cybersecurity policies, procedures and the types of data they store.
- MONITOR – Monitor vendor attestations, contract status, security news and more.
- MANAGE – Easily add additional vendors from hundreds of vendors already verified within Smartria Governance.
- REPORT – Run audit-ready reports on the status of your vendors and who’s using them.
Incident Reporting
What happens when there is a security breach? Is your firm prepared?
- ALERT – Stay aware of data breaches with push notifications from the vendor due diligence system when breaches are discovered.
- DOCUMENT – Document internal data breaches and security or policy-related incidents and resolutions within your firm.
- NOTIFY – Notify your clients of incidents that affect them.
Employee Data Access
The SEC requires firms to protect data, and keep a list of persons with access to data in the firm’s Code of Ethics.
Using the Smartria Data Governance platform, firms have a simple to use system to monitor, manage and report on employee access across operational systems used.
- MONITOR – Monitor employee access to sensitive data.
- MANAGE – Easily manage employee history, access, policy attestations and trainings.
- REPORT – Immediate ability to update your Code of Ethics whenever employee access to data changes.
