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.
A core compliance activity for mutual fund managers is monitoring the operations of their intermediary partners that distribute fund shares. The most reliable and efficient means of satisfying these oversight obligations lies with audited control reports (SOC, FICCA) that describe each intermediary’s operating environment. Since 2013, NQR has reviewed hundreds of these reports on…
About the Company Our client is one of the country’s leading financial service providers, delivering a range of banking, personal finance and wealth management solutions and services. For almost five decades, our client has been at the top of the industry, helping investors craft robust, personalized strategies that meet (and exceed) their financial needs.…
The vendor risk landscape is rapidly evolving, and fostering third-party partnerships can expose organizations to any one of the following risks: Operational Financial Political Strategic Reputational The reality is that third-party due diligence has become one of the top priorities for organizations operating in all parts of the world. Many organizations are not employing…
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