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, …

SEC Announces National Examination Program Priorities for 2013 - March 6, 2013

On February 21, 2013, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2013 examination priorities for financial institutions.  The publication identifies the market-wide issues on which the SEC will be focused, and also the specific subjects of interest within the distinct areas of OCIE’s National Examination Program. For all SEC registrants, OCIE …

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