NQR is excited to share the session descriptions for our 2nd annual Intermediary INSIGHT Conference. The one-day event, held on October 16, 2019 at the Seaport Hotel in Boston, will focus on the evolving oversight dynamics between audit firms, intermediaries, and fund families. Click here to view the full agenda. Audit Firm Presentation Christine Kotarba, …
Continue reading “Deloitte, Ed Jones Among NQR’s 2019 Conference Speakers”
“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, …
Continue reading “Managing Omnibus Relationships with FICCA – An Intermediary’s Perspective”
NQR is excited to share the session descriptions for our first ever Intermediary INSIGHT Conference. The one-day event, held on April 26, 2018 at the Seaport Hotel in Boston, will provide attendees with an opportunity to gain valuable perspective from industry experts and share their experiences with peers. Keynote John Randall of the Investment …
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 …
Continue reading “NQR Renames Intermediary Oversight Solution to Intermediary INSIGHT”
“Intermediaries are cagey. We get it…” Continue reading on boardiq.com
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 …
Continue reading “SEC Announces National Examination Program Priorities for 2013”