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 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 & …

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 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 …

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 can fund families make the most of SOC and FICCA reports received from service providers and intermediaries?  Watch Ernst & Young and NQR discuss the foundations, trends, and best practices …

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 positive sentiments followed our first ever NQR Intermediary INSIGHT Client Conference earlier this year.  The event featured a keynote address from the Investment Company Institute (ICI), a client panel, roundtable discussions, …

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