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, Brian Liebman, and Carolyn Mellett of Deloitte will discuss fund families’ growing compliance needs, upcoming regulatory changes, and the development and purpose of the FICCA.  Deloitte’s speakers will also share their experiences in conducting audits at intermediary firms.

Fund and Intermediary Interview

Colleen Donovan of Putnam will interview Lisa Klassen of Edward Jones to get an intermediary’s perspective regarding oversight.  The interview will touch on Edward Jones’ production of the SOC and FICCA, collaboration with fund partners, and more.

Fund Panel

Kim Alpuerto of John Hancock, Mike Buberl of T. Rowe Price, and Keri Bedoya of Voya will discuss the evolution of their oversight programs.  The panel will address topics including reporting on oversight to the board and other parties, changes in interactions with their distribution partners, and overall best practices, with a focus on ways they’ve benefited from both internal and external collaboration.

Solutions Workshops

NQR’s signature session will enable clients to share oversight best practices or seek suggestions on specific challenges.  These discussions are always popular because they give attendees a chance to talk about what matters most to them.