NQR is rebranding its newest service from Intermediary Oversight to Intermediary (IM) INSIGHT. The new name and logo more effectively reflect NQR’s perspective on broker/dealer oversight. We provide further insight into these business partnerships: insight that benefits our clients in terms of risk mitigation, broker communication, resource allocation, and many more aspects of the intermediary oversight process.
Despite the updated name and look, IM INSIGHT delivers the same, reliable service NQR clients have come to expect. Over the past four years, NQR’s intermediary review services have supplied fund families with the tools to ensure their financial intermediary relationships are compliant, transparent, and efficient.
IM INSIGHT features expert audit report review based on the FICCA framework, benchmarking of which control objectives are of highest priority to other top fund companies, ongoing consulting support, and a community of best practices. Online, fund families benefit from a document repository, review results, benchmarking statistics, FINRA disciplinary history, and a library of dashboards and reports that can be tailored to meet their specific needs. The result is further insight into intermediary relationships, allowing both parties to optimize their business relationship.