Category: Securities and Exchange Commission

The Importance of Audit Reports to Mutual Fund Service Provider Oversight - December 8, 2020

Filed under: Best Practices, Intermediary Oversight, Securities and Exchange Commission, Service Provider Oversight, Vendor Oversight

  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 …

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

Filed under: Intermediary Oversight, NQR Community, Securities and Exchange Commission

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

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

Filed under: Securities and Exchange Commission

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 …

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