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, …

NQR’s 2018 Intermediary INSIGHT Client Conference- Agenda & Highlights - May 2, 2018

  NQR is excited to share the detailed agenda and highlights of our first ever Intermediary INSIGHT Client Conference.  The one-day event, held on April 26, 2018 at the Seaport Hotel in Boston, provided attendees with an opportunity to gain valuable perspective from industry experts as well as to share their experiences with peers.   Conference Highlights   …

NQR Renames Intermediary Oversight Solution to Intermediary INSIGHT - January 17, 2017

  NQR is rebranding its newest service from Intermediary Oversight to Intermediary (IM) INSIGHT.  The new name and logo more effectively reflect NQR’s perspective on broker/dealer oversight.  We provide further insight into these business partnerships:  insight that benefits our clients in terms of risk mitigation, broker communication, resource allocation, and many more aspects of the …

NQR Featured in Board IQ Article “Intermediary Won’t Give Up Info? SEC Feels Your Pain” - May 5, 2016

  “Intermediaries are cagey.  We get it…” Continue reading on boardiq.com  

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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