Vendor Risk Management: Best Practices and Future Trends - December 11, 2022
Enterprises today are increasingly outsourcing elements of their critical operations to third-party service providers to enhance their efficiency and reduce operational costs. However, that …
Continue reading “Vendor Risk Management: Best Practices and Future Trends”
NQR’s 2022 Intermediary INSIGHT Webinars - September 23, 2022
On September 20 and 21, NQR was excited to gather our clients virtually for a series of webinars. Whether virtually or in-person, NQR provides these …
Intermediary Audit Report Exceptions: Trends and Explanations - March 21, 2022
A core compliance activity for mutual fund managers is monitoring the operations of their intermediary partners that distribute fund shares. The most reliable and efficient …
Continue reading “Intermediary Audit Report Exceptions: Trends and Explanations”
Strengthening Intermediary Relationships With One of the Top Financial Service Providers - March 18, 2022
About the Company Our client is one of the country’s leading financial service providers, delivering a range of banking, personal finance and wealth management …
Enhancing Third-party Due Diligence Through Best Practices - March 17, 2022
The vendor risk landscape is rapidly evolving, and fostering third-party partnerships can expose organizations to any one of the following risks: Operational Financial Political …
Continue reading “Enhancing Third-party Due Diligence Through Best Practices”
Foreside Partners with NQR to Provide Intermediary Oversight Services - October 4, 2021
Foreside will deliver NQR’s Intermediary INSIGHT service to assist firms with their oversight of intermediary relationships Portland, ME – September 28th, 2021: Foreside …
Continue reading “Foreside Partners with NQR to Provide Intermediary Oversight Services”
Case Study: How NQR Makes Fund Servicing Easier for Mid Atlantic Capital Group - February 25, 2021
The Challenge When Mid Atlantic Capital Group first began issuing a FICCA audit report to mutual fund partners, they were ahead of the …
Continue reading “Case Study: How NQR Makes Fund Servicing Easier for Mid Atlantic Capital Group”
Northern Trust Partners with NQR to Offer Enhanced Mutual Fund Distribution Support - February 16, 2021
Agreement to significantly reduce the burden of intermediary oversight expectations for mutual fund managers Northern Trust has entered into an agreement with National …
The Importance of Audit Reports to Mutual Fund Service Provider Oversight - December 8, 2020
In today’s interdependent marketplace, it’s up to fund families to evaluate the compliance controls of their various vendors and service providers. Taking into account …
Continue reading “The Importance of Audit Reports to Mutual Fund Service Provider Oversight”
Ernst & Young Webinar: Third-Party Reporting on Internal Controls - September 18, 2020
David Parks Executive Director Asset Management Advisory Ernst & Young Michael Gentile Senior Manager Financial Services Ernst & Young How …
Continue reading “Ernst & Young Webinar: Third-Party Reporting on Internal Controls”