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Ernst & Young Webinar: Third-Party Reporting on Internal Controls - September 18, 2020

Filed under: Best Practices, Intermediary Oversight, NQR Community, Vendor Oversight

Ernst & Young Webinar: Third-Party Reporting on Internal Controls

 

    

David Parks, Ernst & Young

David Parks

Executive Director

Asset Management Advisory

Ernst & Young

Michael Gentile, Ernst & Young

Michael Gentile

Senior Manager

Financial Services

Ernst & Young

    

 

How can fund families make the most of SOC and FICCA reports received from service providers and intermediaries?  Watch Ernst & Young and NQR discuss the foundations, trends, and best practices for leveraging control reports in your third-party oversight program.  Topics include:

 

  • Industry trends in control reporting

  • Responsibilities of service organizations and auditors

  • Best practices for funds as users of SOC and FICCA reports

  • Recent changes to harmonize the FICCA framework with SSAE 18

  • NQR’s role in supporting fund clients’ oversight programs

 

 
 

Download Slides

 

 

 

NQR's INSIGHT Services
Since 2013, NQR has provided leading fund families with the industry’s most in-depth review of distributor audit reports.  Now, with Service Provider INSIGHT, you’ll receive the same, trusted audit report review for your transfer agent, custodian, fund accountant, and all other 3rd-party partners.  To learn more about Service Provider INSIGHT, click here.  To speak with our team, click here.
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