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 the number of service providers a fund typically employs, the scale and complexity of these obligations becomes clear…   How did the industry arrive at this point and what options …

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  

SEC Requests Data to Facilitate Its Consideration of a Uniform Rule for Investment Advisers and Broker-Dealers That Provide Personalized Investment Advice - March 3, 2013

On March 1, 2013, the Securities and Exchange Commission issued a request for information to aid the agency in its consideration of revisions to the respective standards of care imposed on investment advisers and broker-dealers when they provide personalized investment advice.  In particular, the SEC staff seeks quantitative data and economic analysis pertaining to existing …

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