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”
Enterprises today are increasingly outsourcing elements of their critical operations to third-party service providers to enhance their efficiency and reduce operational costs. However, that also …
Continue reading “Vendor Risk Management: Best Practices and Future Trends”
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 …
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 …
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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 …
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 …
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The Challenge When Mid Atlantic Capital Group first began issuing a FICCA audit report to mutual fund partners, they were ahead of the …
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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 …
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David Parks Executive Director Asset Management Advisory Ernst & Young Michael Gentile Senior Manager Financial Services Ernst & Young How …
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“Very insightful! Great discussion.” “Overall a great experience.” “Any opportunity with peers to discuss processes, achievements, pain points, etc., is extremely valuable.” Only …
Continue reading “Managing Omnibus Relationships with FICCA – An Intermediary’s Perspective”