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 …

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

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  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 …

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 …

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 …

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 …

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 …

Deloitte, Ed Jones Among NQR’s 2019 Conference Speakers - August 20, 2019

  NQR is excited to share the session descriptions for our 2nd annual Intermediary INSIGHT Conference.  The one-day event, held on October 16, 2019 at the Seaport Hotel …