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, …

Continue reading “Managing the Ongoing Review of Intermediary Oversight”

Asset Management firms, much like other enterprises, are increasingly relying on third-party service providers to streamline operations and reduce costs. While this outsourcing trend enhances …

Continue reading “5 Fundamentals of Service Provider Risk Analysis”

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 …

Continue reading “Managing Risk in Intermediary Oversight Onboarding”

Columbus, GA – August 23, 2023: Delta Data, a Terminus Capital Partners company and trusted provider of pooled asset and mutual fund software solutions, proudly …

Continue reading “Delta Data Expands Its Pooled Asset Solutions with the Acquisition of National Quality Review (NQR)”

Enterprises today are increasingly outsourcing elements of their critical operations to third-party service providers to enhance their efficiency and reduce operational costs. However, that also …

Continue reading “Vendor Risk Management: Best Practices and Future Trends”

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 …

Continue reading “NQR’s 2022 Intermediary INSIGHT Webinars”

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 …

Continue reading “Intermediary Audit Report Exceptions: Trends and Explanations”

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 …

Continue reading “Strengthening Intermediary Relationships With One of the Top Financial Service Providers”

  The vendor risk landscape is rapidly evolving, and fostering third-party partnerships can expose organizations to any one of the following risks: Operational Financial Political …

Continue reading “Enhancing Third-party Due Diligence Through Best Practices”

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

Continue reading “Foreside Partners with NQR to Provide Intermediary Oversight Services”