NQR’s 2022 Intermediary INSIGHT Webinars - September 23, 2022

On September 20 and 21, NQR was excited to gather our clients virtually for a series of webinars. Whether virtually or in-person, NQR provides these …

Intermediary Audit Report Exceptions: Trends and Explanations - March 21, 2022

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 …

Strengthening Intermediary Relationships With One of the Top Financial Service Providers - March 18, 2022

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 …

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

  The Challenge   When Mid Atlantic Capital Group first began issuing a FICCA audit report to mutual fund partners, they were ahead of the …

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

  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 …

Ernst & Young Webinar: Third-Party Reporting on Internal Controls - September 18, 2020

       David Parks Executive Director Asset Management Advisory Ernst & Young Michael Gentile Senior Manager Financial Services Ernst & Young       How …

Managing Omnibus Relationships with FICCA – An Intermediary’s Perspective - October 8, 2018

  “Very insightful!  Great discussion.” “Overall a great experience.” “Any opportunity with peers to discuss processes, achievements, pain points, etc., is extremely valuable.”   Only …

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