Click on the archives below to read articles and summaries pertaining to regulatory changes, industry trends and events, and any updates to NQR service offerings.
Intermediary relationships are complicated arrangements and do not lend themselves to one standardized type of oversight program. A fund’s ongoing monitoring will vary in frequency, …
Continue reading “Managing the Ongoing Review of Intermediary Oversight”
Asset Management firms, much like other enterprises, are increasingly relying on third-party service providers to streamline operations and reduce costs. While this outsourcing trend enhances …
Continue reading “5 Fundamentals of Service Provider Risk Analysis”
Although intermediary oversight has always been a significant focus of the mutual fund industry, certain regulatory initiatives over the years have elevated oversight management. As …
Continue reading “Managing Risk in Intermediary Oversight Onboarding”
NQR is proud to present the services that assist in our clients' compliance and oversight operations. Click on any of the events below to schedule a presentation or find details on an event NQR is attending.
Check back later for upcoming events!