Read the full press release here.

Intermediary Oversight Conference


NQR is excited to share the session descriptions for our first ever Intermediary INSIGHT Conference.  The one-day event, held on April 26, 2018 at the Seaport Hotel in Boston, will provide attendees with an opportunity to gain valuable perspective from industry experts and share their experiences with peers.




Intermediary Oversight ConferenceJohn Randall of the Investment Company Institute will share the organization’s perspective on the FICCA framework as a tool for omnibus transparency, as well as the framework’s increasing popularity among intermediaries.  Randall has been spearheading this initiative within the BTRAC community.



Intermediary Presentation

Michele A. Coletti of Mid Atlantic Capital Group will discuss the firm’s decision to produce a FICCA, the benefits and challenges, and the effect on their interactions with partners.  Coletti will also discuss Mid Atlantic’s 2018 initiatives for process improvement: to strengthen areas with possible gaps and increase collaboration with fund families.



Intermediary Oversight ConferenceFund Panel

Lenore Downs of Amundi Pioneer, Chris Kiatos of Columbia Threadneedle, and William J. Jacobs of Putnam will share their success stories and challenges regarding intermediary oversight.  Panelists will focus on their firm’s current oversight program, how their report review and follow-up processes have evolved over the last 3 years, and opportunities for fund families and intermediaries to work together to increase oversight efficiency and effectiveness.



Roundtable Discussions

Roundtable discussions will enable fund families to share leading oversight practices or seek suggestions on specific challenges.  For the first time in a face-to-face setting, clients will be able to engage in the same free exchange of ideas that characterizes the quarterly NQR user group calls.



NQR's Intermediary INSIGHT Service
NQR provides the industry’s most thorough review of financial intermediary FICCA and SOC reports, allowing your team’s focus to shift from document review to following up and building relationships with your distribution partners.  To learn more about NQR’s Intermediary INSIGHT service, click here.  To speak with our team about attending NQR’s 2018 Conference, click here.
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