IMI-NQR-INSIGHT-01 Intermediary INSIGHTFor fund families planning to build, organize, or expand their financial intermediary review program, Intermediary INSIGHT is the ultimate analytical and reporting solution.

 

“One of the most valuable services NQR offers is insight into the trends and the developing best practices in the asset management industry.”

– Compliance Manager, Intermediary INSIGHT Client


 

Recent regulatory changes have created a need for expanded oversight programs in asset management.  With over 25 years of industry experience, we know that deeper due diligence means extraordinary challenges for fund families, especially when resources are limited.  NQR’s robust intermediary oversight solution can help your firm increase efficiency and reduce operating expenses of your oversight program.

 

Intermediary INSIGHT (IM INSIGHT) will strengthen your oversight initiatives through NQR’s compliance analysis, operational expertise, data management, and ongoing consultative support.  Simply log in and view results through a comprehensive suite of online tools.

 


 

Key Features

 

 

IMI-NQR-INSIGHT-01 Intermediary INSIGHT Intermediary Analysis

  • Analysis of FICCA and SOC1 reports, questionnaires, certificates, and other audit documents
  • Sufficiency ratings of FICCA control objectives for each intermediary
  • Detailed FINRA news, rule filings, and disciplinary history including monetary sanctions
  • Library of customizable dashboards and Board reports
  • Document repository
IMI-NQR-INSIGHT-01 Intermediary INSIGHT  

Competitive Benchmarking

  • Consistent FICCA framework allows for easy comparative benchmarking between intermediaries
  • Display of which control objectives have highest priority for NQR clients
IMI-NQR-INSIGHT-01 Intermediary INSIGHT  

Best Practices Consulting

  • Expertise and insights based on NQR clients navigating the same challenges
  • Access to NQR’s user community of industry best practices, thought leadership, and program improvement
  • Quarterly client user groups to discuss and compare program initiatives

 

Benefits

 

IMI-NQR-INSIGHT-01 Intermediary INSIGHT Compliance

  • Leverage NQR’s expertise to identify FICCA control gaps for optimum risk mitigation
  • Pinpoint operational and regulatory blind spots that are priorities to your organization
  • Enhance due diligence by expanding the number of intermediaries under review in your oversight program
IMI-NQR-INSIGHT-01 Intermediary INSIGHT  

Efficiency

  • Streamline data access to exceed Board reporting expectations
  • Reduce manual workload and operating costs
  • Maximize use of valuable resources
  • Integrate intermediary documentation through NQR’s document repository
  • View audit document solicitation plan, status, and follow-up dates
IMI-NQR-INSIGHT-01 Intermediary INSIGHT  

Transparency

  • Oversee your intermediary oversight program from a consolidated online tool with unlimited organizational access
  • Get a holistic perspective on your intermediaries
  • Gain competitive intelligence on industry priorities

 

NEW  |  Fee Assessment

 

IMI-NQR-INSIGHT-01 Intermediary INSIGHTIn response to the SEC’s 2016 sub-accounting fee guidance and recent substantial fines for “distribution in guise,” NQR designed an Intermediary Fee Assessment Platform.

Fee Assessment is fully integrated with IM INSIGHT and helps fund companies assess the reasonableness of fees paid to their intermediary partners for non-distribution services.

Request a demo or more information to learn about Fee Assessment benchmarks and Board reporting.