NQR is excited to share preliminary session descriptions for our 2nd annual Intermediary INSIGHT Conference. The one-day event, held on October 16, 2019 at the Seaport Hotel in Boston, will focus on the evolving oversight dynamics between audit firms, intermediaries, and fund families.
Audit Firm Presentation
Christine Kotarba, Brian Liebman, and Carolyn Mellett of Deloitte will discuss fund families’ growing compliance needs, upcoming regulatory changes, and the development and purpose of the FICCA. Deloitte’s speakers will also share their experiences in conducting audits at intermediary firms.
Fund and Intermediary Interview
Colleen Donovan of Putnam will interview Lisa Klassen of Edward Jones to get an intermediary’s perspective regarding oversight. The interview will touch on Edward Jones’ production of the SOC and FICCA, collaboration with fund partners, and more.
Intermediary INSIGHT Client Panel
A panel including Kim Alpuerto of John Hancock and Keri Bedoya of Voya will discuss the evolution of their oversight programs. The panel will address challenges and solutions in applying the FICCA for non-broker-dealer firms, changes in interactions with their intermediaries, and reporting results to the Board and other parties.