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Managing the Ongoing Review of Intermediary Oversight - December 8, 2023

Intermediary relationships are complicated arrangements and do not lend themselves to one standardized type of oversight program. A fund’s ongoing monitoring will vary in frequency, …

Managing Risk in Intermediary Oversight Onboarding - November 27, 2023

Although intermediary oversight has always been a significant focus of the mutual fund industry, certain regulatory initiatives over the years have elevated oversight management. As …

NQR’s 2022 Intermediary INSIGHT Webinars - September 23, 2022

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 …

Intermediary Audit Report Exceptions: Trends and Explanations - March 21, 2022

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 …

Strengthening Intermediary Relationships With One of the Top Financial Service Providers - March 18, 2022

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 …

Foreside Partners with NQR to Provide Intermediary Oversight Services - October 4, 2021

Foreside will deliver NQR’s Intermediary INSIGHT service to assist firms with their oversight of intermediary relationships       Portland, ME – September 28th, 2021:  Foreside …

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 …

Northern Trust Partners with NQR to Offer Enhanced Mutual Fund Distribution Support - February 16, 2021

  Agreement to significantly reduce the burden of intermediary oversight expectations for mutual fund managers   Northern Trust has entered into an agreement with National …

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 …

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 …

Deloitte, Ed Jones Among NQR’s 2019 Conference Speakers - August 20, 2019

  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 …

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 …

ICI, Mid Atlantic, Amundi Pioneer to Speak at NQR’s 1st Intermediary Oversight Conference - March 2, 2018

  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 …

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 …

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  

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