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NQR Blog

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.

Case Study: How NQR Makes Fund Servicing Easier for Mid Atlantic Capital Group - February 25, 2021

Filed under: Best Practices, Intermediary Oversight, NQR Community

  The Challenge   When Mid Atlantic Capital Group first began issuing a FICCA audit report to mutual fund partners, they were ahead of the game.  So far ahead, in fact, that detailed feedback and knowledge of FICCA best practices were scarce.   That’s where NQR came in, said Michele Coletti, COO of Trust & …

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Northern Trust Partners with NQR to Offer Enhanced Mutual Fund Distribution Support - February 16, 2021

Filed under: Intermediary Oversight, NQR Community

  Agreement to significantly reduce the burden of intermediary oversight expectations for mutual fund managers   Northern Trust has entered into an agreement with National Quality Review (NQR) to provide U.S. mutual fund managers with access to NQR Intermediary INSIGHT, a service that helps managers support their operational oversight of intermediary firms – entities which …

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The Importance of Audit Reports to Mutual Fund Service Provider Oversight - December 8, 2020

Filed under: Best Practices, Intermediary Oversight, Securities and Exchange Commission, Service Provider Oversight, Vendor Oversight

  In today’s interdependent marketplace, it’s up to fund families to evaluate the compliance controls of their various vendors and service providers.  Taking into account the number of service providers a fund typically employs, the scale and complexity of these obligations becomes clear…   How did the industry arrive at this point and what options …

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NQR Events

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.


Upcoming Events

NQR Intermediary INSIGHT Presentation

Thu March 25, 2021, 2:00 pm EST

Schedule a 30-minute presentation of our industry-leading Intermediary INSIGHT service. We’ll cover the NQR expertise behind our SOC 1 and FICCA document review in addition to a brief overview of our online reporting. An NQR representative will contact you shortly after the registration is received.

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